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Market Abuse
SEBI Exonerates Nine in NSE ‘Dark Fibre’ Case – Reports
By Editors | 17/01/2020
SEBI said there was no evidence to suggest the nine former and current NSE officials were involved in facilitating preferential market access for selected brokers.
Anti-Money Laundering
Fighting Modern Slavery: What the Banking Sector Can Do to Help
By Matt Friedman | 17/01/2020
Many banks are retooling to include modern slavery as one of the issues they track within their existing AML protocols, says Matt Friedman, CEO of The Mekong Club.
Anti-Money Laundering
MAS Publishes Responses to VCC Consultation Papers
By Editors | 16/01/2020
VCCs are required to engage an Eligible Financial Institution, or EFI, to perform necessary AML/CFT checks and maintain the register of controllers, nominee directors and beneficial owners.
Conduct, Culture & Accountability
HKMA Reveals Preliminary Findings from Bank Culture Assessments
By Manesh Samtani | 16/01/2020
HKMA executive director Alan Au says banks generally agree with the need to foster sound bank culture and have been implementing a range of culture enhancement initiatives.
Market Abuse
CFTC Penalises Mirae Asset Daewoo on Spoofing Charges
By Editors | 15/01/2020
Mirae Asset will pay $700,000 to settle charges against Daewoo Securities, which it acquired in April 2016 — after the spoofing conduct at issue occurred.
Cybersecurity
IMF Calls for Global Response to Address Cybersecurity Threat
By Editors | 15/01/2020
To reap the benefits of new technologies to develop markets and expand financial inclusion, the security of information and communications technologies must be ensured.
Anti-Money Laundering
Singapore Convicts a Second National for Terrorism Financing
By Editors | 15/01/2020
Imran Kassim became the first Singapore national to be charged for terrorism financing last April, but is the second to be convicted and sentenced.
Credit Risk
RBI Imposes Restrictions on Another Cooperative Bank
By Editors | 14/01/2020
Sri Guru Raghavendra Sahakara Bank is not allowed to grant or renew loans and advances, make investments, borrow funds or accept fresh deposits.
Conduct, Culture & Accountability
ASIC to Audit Broker Sales of Listed Investment Funds
By Editors | 14/01/2020
ASIC is reviewing whether sales commissions paid by fund managers to brokers or financial advisers to sell funds compromise the best interests of investors.
Conduct, Culture & Accountability
SEBI Launches Fresh Probe into NSE for Data Leak
By Editors | 14/01/2020
The alleged leaks are said to have involved documents related to NSE policy decisions, internal studies and board meeting minutes.
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