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PEPs & Sanctions
China to Bolster Legal Defences Against Foreign Sanctions
By Editors | 09/03/2021
China plans to accelerate legislation designed to guard against foreign sanctions, interference and long-arm jurisdiction, a top lawmaker has said.
Conduct, Culture & Accountability
BSP Advocates Passage of New Consumer Protection Law
By Ranamita Chakraborty | 09/03/2021
The proposed law will allow financial regulators to issue consumer protection rules, conduct market surveillance and examination, and adjudicate complaints.
Trading & Investment
SEBI Updates Rules on UCC, PAN Use in Commodity Derivatives
By Sanday Chongo Kabange | 09/03/2021
Execution of commodity derivatives trades will be prohibited without an upload of clients’ UCC details, which should be accompanied by the PAN or e-PAN.
Conduct, Culture & Accountability
FSS Chief Faces Resignation Calls over Personnel Management
By Ranamita Chakraborty | 09/03/2021
Yoon Suk-heun, whose three-year term ends in two months, allegedly promoted certain officials who had been punished for hiring irregularities.
Conduct, Culture & Accountability
Australian Court Penalises Dover Financial Advisers for Misconduct
By Editors | 09/03/2021
The penalty is part of the fallout from a 2019 federal court judgment that Dover Financial Advisers engaged in “false, misleading or deceptive conduct”.
Anti-Money Laundering
KoFIU’s New AML System Showing ‘Significant Improvements
By Editors | 08/03/2021
The new STR filing system and the screening and analysis process have been made more efficient, while guaranteeing better system security and stability.
Market Abuse
John McAfee Indicted for Crypto-related Fraud, Money Laundering
By Sanday Chongo Kabange | 08/03/2021
McAfee and his associate allegedly used their large Twitter following to promote altcoins and ICOs to investors through a so-called pump-and-dump scheme.
Market Abuse
SEBI Directs MIIs to Establish Controls to Prevent Market Abuse
By Editors | 08/03/2021
Stock exchanges, clearing corporations and depositories are asked to establish a code of conduct and institutional mechanism to prevent fraud and market abuse.
Market Abuse
HK Police Arrest 12 Members of Ramp-And-Dump Syndicate
By Editors | 08/03/2021
The SFC has frozen securities accounts holding an estimated HK$860mn in ramp-and-dump proceeds, while the Police have seized an additional HK$89mn.
Anti-Money Laundering
FATF Publishes Guidance on Risk-based AML/CFT Supervision
By Editors | 08/03/2021
The guidance includes practical advice to address common challenges in risk-based supervision, including examples of strategies for supervising DNFBPs and VASPs.
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