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KYC & CDD
HK Banks Asked to Enhance Customer Interface of Account Opening
By Manesh Samtani | 18/06/2019
The HKMA has published the findings of its mystery shopper programme, which set out to assess customer interface aspects of bank account opening for SMEs and ethnic minorities.
Trading & Investment
China Capital Markets Reaching Inflection Point: ASIFMA
By Editors | 17/06/2019
New ASIFMA report says China’s capital markets are reaching an inflection point, and provides 103 recommendations to facilitate their further development.
Clearing & Post-Trade
SFTR: An Opportunity to Upgrade, Automate
By Manesh Samtani | 17/06/2019
DTCC’s Val Wotton and Oliver Williams explain the challenges SFTR presents in Asia, and how firms can best prepare in the lead-up to implementation starting in April 2020.
Structural Regulation
BNM Issues Draft Rules for Electronic Trading Platforms
By Editors | 17/06/2019
BNM has issued a policy document laying out its expectations of companies providing electronic trading platforms in the FX and money markets.
Sustainable Finance
India INX Launches Trading Platform for Green Bonds
By Editors | 17/06/2019
BSE-owned India INX has listed the bonds of three Adani-group subsidiaries on its new green bonds platform.
Trading & Investment
Shanghai’s New Tech Board to Commence Trading Within 2 Months
By Editors | 15/06/2019
China has held a launch ceremony for Shanghai’s new board, termed the ‘SSE STAR Market’. Trading is expected to commence within 2 months with about 30 companies.
Payments & Settlements
RBA Proposes Financial Penalties for Slow NPP Adoption
By Editors | 14/06/2019
The RBA recommends the introduction of an enforceable sanctions regime and possible financial penalties for NPP participants that do not support core capabilities within a specific period of time.
Clearing & Post-Trade
DLT Can Enhance Settlement Systems, But Not Replace Them
By Manesh Samtani | 14/06/2019
A new paper from Greenwich Associates says DLT cannot replace settlement infrastructure entirely without imposing the very costs it was designed to reduce.
Trading & Investment
SFC Provides Additional Guidance on Sale of Complex Products
By Editors | 14/06/2019
Paragraph 5.5 of the Code of Conduct is only applicable for unsolicited purchases of complex products. Intermediaries can apply a risk-based approach to disclosures for repeat purchases.
Conduct, Culture & Accountability
Practical Steps for Compliance with MAS’ IAC Guidelines
By Grace Chong | 14/06/2019
Grace Chong at global law firm Simmons & Simmons analyses the implications of MAS’ Individual Accountability and Conduct Guidelines, and sets out the practical steps to be taken.
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