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Conduct, Culture & Accountability
ASIC Expands Investigation on UBS over NSW Privatization Report
By Editors | 19/04/2015
The Australian Securities and Investments Commission’s investigation on UBS, a key adviser on the privatisation of NSW Coalition, now involved interviews with top officials at the bank including its Australia chief executive Matthew Grounds.
Supervision & Enforcement
Indonesia Signs Cooperation Pact with S. Korea on Monetary Supervision
By Editors | 17/04/2015
Indonesia’s Financial Services Authority (OJK) has signed an agreement boosting cooperation with South Korea’s Financial Supervisory Service (FSS) in overseeing the financial industry.
Fraud, Scams & Cybercrime
Australia’s ASIC Investigates Wealth Managers over Advice Fees
By Editors | 16/04/2015
The Australian Securities and Investments Commission (ASIC) is investigating some of the country’s biggest wealth managers for charging clients for financial advice even when no advice has been provided.
Emerging Prudential Risks
China Reinforces Lending Roles of Policy Banks
By Editors | 13/04/2015
China’s State Council has approved a plan to reform China Development Bank and two other lenders to make them more responsive in funding initiatives in line with the country’s growth policies.
Structural Regulation
Implications of China’s Looming Market Evolution
By Editors | 10/04/2015
Implications of market structure changes for surveillance and risk management professionals.
PEPs & Sanctions
Moscow Exchange Seeks Dual Listing Capability on HKEx
By Peter Guy | 09/04/2015
Recent sanctions are forcing Russians to seek alternative financing platforms away from American and European influence.
Supervision & Enforcement
ASIC Seeks Reforms in Dealing with Client Legal Privilege
By Editors | 07/04/2015
The Australian Securities & Investments Commission is seeking reforms that would prevent people from making unsubstantial claims of client legal privilege that could delay investigations into breaches of the corporation law.
Anti-Money Laundering
The Risk of De-Risking
By Editors | 02/04/2015
Complying with anti-money laundering regulations while protecting the bottom line.
KYC & CDD
Making KYC Accessible for Smaller Banks
By Editors | 26/03/2015
SWIFT has introduced a free-to-use utility that will help smaller institutions achieve compliance and reduce the cost and problems of procedures.
Structural Regulation
Challenges in India’s Regulatory Landscape
By Peter Guy | 12/03/2015
India Regulatory Summit highlights how international financial regulations can work in a developing economy.
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