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PEPs & Sanctions
HKMA Ticks off, Fines Coutts for AML Failings
By Samuel Riding | 12/04/2017
Firm said to have inadequate PEP identification procedures for more than three years.
Market Risk
Counting Down to the ‘New’ VM Deadline
By Samuel Riding | 30/03/2017
1 September highly likely to be the final cut-off for meeting OTC derivatives margin requirements.
Conduct, Culture & Accountability
HKMA Sets out Culture Requirements
By Samuel Riding | 03/03/2017
Banks should set up or expand board-level committees to tackle the issue.
Structural Regulation
HKMA Chief Appointed to Chair FSB Cooperation Committee
By Samuel Riding | 02/03/2017
MAS managing director Ravi Menon ends two-year term as chair of committee on implementation.
Structural Regulation
HK Delays OTC Contract Novation Reporting Requirement
By Samuel Riding | 01/03/2017
Requirement that novation dates be reported by 28 February postponed.
Market Risk
HKMA Sets out IRRBB Model Exceptions
By Samuel Riding | 28/02/2017
Upcoming consultation expected to have ‘no significant deviation’ from BCBS standardised framework.
Trading & Investment
HKMA Issues Product Sales, Securities Handling Guidance
By Samuel Riding | 24/02/2017
Regulators notes ‘controls, monitoring and compliance review’ lapses by private banks.
Structural Regulation
Canadian Bank Deploys AxiomSL Platform in Singapore, HK
By Samuel Riding | 07/02/2017
AxiomSL, the provider of regulatory reporting and risk management solutions, announced a leading Canadian bank has successfully completed the first […]
Clearing & Post-Trade
HK Announces OTC Derivatives Reporting Tests
By Samuel Riding | 30/01/2017
Licensed corporations need to complete tests by the end of May.
AI Risk & Governance
The Whys and Whats of Regtech
By Nick Wakefield | 19/01/2017
Speakers at Fintech Finals discuss the rationale for regtech, and where it can be of most use.
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