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Conduct, Culture & Accountability
Hong Kong Regulator ups Penalties Against Individuals
By Garima Chitkara | 01/08/2017
Fines against individuals as opposed to corporates were up in Hong Kong, a 63% increase in fines from the year before.
Structural Regulation
HK Auditing Brokers’ Protection of Client Assets
By Editors | 31/07/2017
Regulator cites weaknesses in internal account protection controls despite warnings; IOSCO report says HK due diligence to safeguard client rights […]
Market Abuse
HKEX, CSRC and SFC on a Regulatory Collision Course
By Peter Guy | 31/07/2017
Regulatory problems in China market could spill into Hong Kong through HKEX’s new third board.
Cryptocurrency
US ICO Ruling Opens ‘Can of Worms’ for Asia
By Samuel Riding | 27/07/2017
Securities and Exchange Commission’s decision to define ICOs as securities adds to uncertainty around regulatory treatment of the virtual economy. […]
Conduct, Culture & Accountability
ASIC Chief Sets out Firms’ Conduct Failings
By Editors | 27/07/2017
Chairman Greg Medcraft suggests firms aren’t linking conduct to other areas of risk; message might not be getting through to […]
Structural Regulation
Vietnam Regulator Cleans Up Markets in Advance of Derivatives Regime
By Editors | 26/07/2017
State Securities Commission shuttered 28 firms and withdrew brokerage business licenses from another 13 institutions in 1H17; derivatives launch set […]
Emerging Prudential Risks
AFCA Eyes Stronger Capital Markets, Better Risk Management at Asian Banks
By Editors | 26/07/2017
Beijing-based Association will lobby supranational regulatory bodies and push for better risk management and conduct at Asian financial institutions. The […]
Cloud & Infrastructure
Regulatory Support Behind Fintech’s Rise – EY
By Editors | 24/07/2017
Asia Pacific countries lead adoption as sector gains traction, backed by due to greater support, and affirmation, from regulators and […]
Market Abuse
Japanese Brokers Face Scrutiny of Information Controls
By Editors | 24/07/2017
Securities Dealers Association aims to ensure brokerage managers who are also investment bankers don’t reveal inside information. The new chief […]
Market Data & Technology
Tackling the MiFID 2 Data Deluge in APAC
By Samuel Riding | 20/07/2017
Asia’s diverse information governance rules and sometimes insular institutions exacerbate MiFID 2 data challenge.
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