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Conduct, Culture & Accountability
Culture & Conduct Risk: Singapore Sets the Pace for Peers
By Stephen Scott | 08/06/2021
Among global peers, Singapore is setting the pace for effective governance of culture and conduct risks, say Starling’s Stephen Scott and Mark Cooke.
Operational Risk
SFC Raises Supervisory Focus on Fund Manager Resilience
By Manesh Samtani | 08/06/2021
The SFC is on the lookout for funds with outsized and concentrated bets to prevent an Archegos-type event in Hong Kong.
Structural Regulation
Standard-Setters Launch Plan to Improve Global Audit Quality
By Editors | 07/06/2021
Implementation of the plan will take three years and result in overall improvements to the international audit-related standard-setting system.
Structural Regulation
PBOC Accepts Applications to Establish Financial Holding Companies
By Manesh Samtani | 07/06/2021
China CITIC Limited and China Everbright Group have become the first to apply for approval to establish financial holding companies.
Trading & Investment
SEBI Allows Foreign Funds to Transfer Securities to IFSC Off-Market
By Editors | 07/06/2021
Off-market transfers lower the costs associated with relocating funds to Gift City and make it a more attractive investment destination.
Conduct, Culture & Accountability
Hong Kong: Appeals Tribunal Overturns Ban Against UBS Banker
By Editors | 07/06/2021
The SFAT concluded that the former UBS banker cannot be held personally responsible for the failings of the China Metal Recycling transaction team.
Supervision & Enforcement
SEBI Enters MOU with Luxembourg Securities Regulator
By Editors | 07/06/2021
The MOU will facilitate mutual assistance, supervisory cooperation, and effective enforcement in the securities markets.
Structural Regulation
Five Parties Identified as Seeking Malaysia Digital Bank Licence
By Ranamita Chakraborty | 04/06/2021
A consortium involving Pertama Digital, Crowdo and INFOPRO is applying for a licence. Axiata Group and RHB Bank are jointly applying for another.
Structural Regulation
Japan to Remove Firewall Between Banking, Securities Operations
By Editors | 04/06/2021
The FSA is reportedly working on rule changes that would allow banks and securities firms within the same group to share customer data.
Trading & Investment
SEBI Defers Fund Disclosure Rule by Three Months
By Editors | 04/06/2021
New rules for the disclosure of scheme risk-o-meters, performance and portfolio details will be implemented on 1 September instead of 1 June.
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