All posts tagged "Surveillance"
-
113AML / KYCThailand to Require UBO Transparency in Bond Markets
Non-residents who invest in debt securities in Thailand are required to open Segregated Securities Accounts with custodians at the UBO level.
April 14, 2021 -
131AML / KYCBangladesh Officials Confirm Use of Bitcoin to Finance Terrorism
Two arrested militants have reportedly confessed to receiving funds through Bitcoin from extremist groups since 2014.
March 13, 2021 -
153Asia-PacificBSP Advocates Passage of New Consumer Protection Law
The proposed law will allow financial regulators to issue consumer protection rules, conduct market surveillance and examination, and adjudicate complaints.
March 10, 2021 -
98Australia & NZASIC Attributes Higher Industry Levies to Royal Commission Work
ASIC’s regulatory work related to the Royal Commission recommendations involves higher-cost activities such as enforcement, supervision and surveillance.
March 7, 2021 -
451Big PictureSingapore Rated Asia’s Top Regulatory System, Followed by Hong Kong
Duff & Phelps survey respondents rated the UK as the world’s top regulatory regime, followed by Singapore and the US, which tied for second place.
February 18, 2021 -
277Australia & NZ
ASIC to Consider Enforcement Action for Climate Risk Disclosure Failures
ASIC says the law requires climate risk to be included in OFR disclosures, particularly when it is a material risk that could affect financial performance.
February 8, 2021 -
166Asia-PacificSri Lanka SEC Approves New IPO Process, Relaxed Listing Rules
The SEC has asked the Colombo Stock Exchange to implement a broad programme to educate companies on the simplified processes and encourage them to list.
January 25, 2021 -
232Asia-PacificBSP Deploys New Supervisory Assessment Framework
SAFr aims to facilitate forward-looking assessments of financial institutions and link their systemic importance and risk profile to the level of supervisory attention they receive.
January 13, 2021 -
407Asia-Pacific
BOT Relaxes Investment Restrictions to Hold Down Baht
The changes will make it easier for residents to invest overseas and hold foreign currency at local banks. ETFs tracking foreign securities will be allowed to list in Thailand.
November 26, 2020 -
2.4KAML / KYCMAS’ Use of Tech to Enhance Regulatory, Supervisory Functions
A recent FSB report offered case studies of how regtech and suptech are being deployed by regulators, including several examples from MAS.
October 17, 2020
