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Operational Risk
APRA Consults on Super Fund Governance Arrangements
By Editors | 02/09/2015
Consultation package proposes changes to governance and prudential framework in light of proposed legislative amendments requiring more board independence at super funds.
Market Abuse
Chinese Police Detain Suspects for Stock Market Violations
By Editors | 01/09/2015
A securities watchdog official, four senior executives of a major brokerage, and a reporter have all reportedly confessed to stock market violations and been detained.
Market Abuse
Philippine Regulator Seeks to Bypass Bank Secrecy Law
By Editors | 01/09/2015
The Securities and Exchange Commission of the Philippines is seeking leeway from Congress to scrutinise bank records so as to respond promptly when there are cases of securities violation.
Capital Adequacy
China Looks to Develop Pension Insurance Sector
By Editors | 01/09/2015
The China Insurance Regulatory Commission has rolled out new regulations on pension fund management in a bid to encourage the insurance industry’s participation in developing China’s pension system.
Trading & Investment
China Tightens Rules on Stock Index Futures
By Editors | 01/09/2015
The China Securities Regulatory Commission has increased margin requirements on stock index futures contracts and narrowed the number of contracts that traders can open in a bid to curb speculation.
KYC & CDD
China Probes Major Brokerages for Client Rules Violations
By Editors | 28/08/2015
The China Securities Regulatory Commission has launched an investigation into some of China’s largest brokerages for suspected rule violations.
Anti-Money Laundering
India Brings in FATCA, Scraps MAT
By Samuel Riding | 27/08/2015
Domestic tax rules changed to account for US legislation; minimum alternate tax exemption backdated to 2001.
KYC & CDD
Nepal Investment Bank joins SWIFT’s KYC Registry
By Editors | 27/08/2015
Pioneering bank in Nepal to join The KYC Registry allowing the proactive sharing of information with correspondent banks.
Anti-Money Laundering
China Cracks Down on Illegal Overseas Funds Transfers
By Editors | 27/08/2015
Chinese police have launched a nationwide campaign against underground banks to curb money laundering and illegal funds transfers that occur outside approved banking channels.
Market Abuse
MAS Seeks to Strengthen Enforcement Regime
By Editors | 26/08/2015
The Monetary Authority of Singapore has proposed new rules aimed at strengthening the effectiveness of its enforcement regime in deterring market misconduct.
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