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Anti-Money Laundering
Managing Regulatory Change as a Business-as-usual Activity
By Rachel Woolley | 05/06/2019
By laying the groundwork, identifying key goals and developing processes, regulatory change management can be a business-as-usual activity, says Fenergo’s Rachel Woolley.
Clearing & Post-Trade
BSE India, ICCL Implement CCP Interoperability Framework
By Editors | 04/06/2019
BSE India and its subsidiary ICCL have gone live with the clearing corporation interoperability framework, despite a one month extension being announced.
Conduct, Culture & Accountability
SGX RegCo Eyes Greater Enforcement, Whistleblower Protection
By Garima Chitkara | 04/06/2019
Senior officials at an SGX RegCo symposium said the regulator will take a more active role in protecting investor interests through greater enforcement action and whistleblower protection.
Conduct, Culture & Accountability
HK FRC Concludes Consultation on Auditor Misconduct Penalties
By Editors | 04/06/2019
The FRC will be empowered to order penalties of up to HK$10mn or three times the profit gained or loss avoided as a result of misconduct, whichever is higher.
Trading & Investment
Banks Should Start Considering HONIA Products – HKMA
By Manesh Samtani | 03/06/2019
HKMA Deputy Chief Howard Lee says global banks are the “best equipped” and should be taking the lead in the transition to alternative reference rates.
Clearing & Post-Trade
Bursa Malaysia Central Depository to Expand Electronic Services
By Editors | 03/06/2019
Bursa Malaysia is proposing rule amendments to facilitate the introduction of new CDS eServices via ‘Bursa Anywhere’ – a new electronic platform.
Payments & Settlements
Japan, Philippines Explore Yen-Peso Direct Trading
By Editors | 03/06/2019
Japan and the Philippines will explore the establishment of direct yen-peso settlement for trade and investment between the two countries.
Conduct, Culture & Accountability
Macquarie Securities Penalised for Submitting Incorrect Regulatory Data
By Editors | 03/06/2019
Over 4 years, approximately 42 million orders containing incorrect or omitted regulatory data were submitted to ASX and Chi-X.
KYC & CDD
FSB Details Progress to Address Decline in Correspondent Banking
By Editors | 03/06/2019
The number of active correspondent banks declined by 3.4% in 2018, bringing the cumulative decline since 2011 to 19.3 percent.
Clearing & Post-Trade
Industry Body Publishes Best Practices Paper for CCPs
By Editors | 03/06/2019
Global association CCP12 says in a new paper that a ‘one-size-fits all’ approach to CCPs is inappropriate, and it is critical to recognise jurisdictional differences.
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