All posts tagged "Risk"
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521AML / KYCVideo: Detecting True Risk With Holistic Surveillance: Nice Actimize
Regulation Asia sat down with Nice Actimize's Jerome Lambert to understand how a holistic approach has improved surveillance capabilities and reduced the burden on compliance analysts.
January 15, 2020 -
326Asia-PacificCryptoasset Risk in Misalignment with Investor Profiles: OECD
New OECD research has found a strong likelihood of misalignment between the risk profiles of some financial consumers and the riskiness of cryptoassets.
December 18, 2019 -
402Asia-PacificLSEG to Provide Post Trade Technology for Philippine Bourse
The Securities Clearing Corporation of the Philippines will use LSEG technology to enhance its clearing, settlement, risk and collateral management capabilities.
December 12, 2019 -
526Australia & NZClearView Completes Advice Remediation Programme
Financial compensation totalling A$730,000 was offered to 215 clients who were harmed by poor advice, while another 21 clients received non-financial remediation.
September 20, 2019 -
279JapanJapan Regulators Seek Data on Financial Firms’ Risky Investments
The BOJ and FSA are collecting data on financial firms' holdings of collateralised loan obligations and leveraged loans to understand the risks they present.
September 10, 2019 -
458Capital RegulationUPDATED – PBOC Mulls New Rules to Reduce Risk at Smaller Banks
The PBOC will encourage merger talks instead of bankruptcies when dealing with problematic financial institutions.
August 30, 2019 -
592Capital RegulationCBIRC Issues New Rules to Raise Transparency on Bank Ownership
By end-June 2020, all banks must provide the complete and accurate register of their shareholders to custodian institutions who will manage the register moving forward.
July 26, 2019 -
795Capital Regulation
CBIRC to Launch Special Inspections Targeting Property Lending Practices
The special inspections will reportedly involve 75 banks in 30 cities, scrutinising all aspects of property-related loans, as regulators seek to reign in risk.
July 24, 2019 -
535ChinaChina to Resume Approvals for Domestically Funded Securities Firms
All newly approved brokerages since 2008 have been joint ventures between domestic and foreign investors. But market access should also be broadened to domestic investors, the CSRC says.
July 8, 2019 -
827FeatureBanks Increasingly Focused on Conduct Risk – FSB
At an FSB workshop on compensation practices, banks reported an increased focus on conduct risk, management accountability and culture reform.
March 12, 2019
