All posts tagged "Surveillance"
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999Australia & NZASIC to Issue Derivatives Reporting Consultation Soon
ASIC’s Alex Orgaz-Barnier says APAC regulators are targeting a common implementation date and alignment to the greatest extent possible.
May 11, 2022 -
644AML / KYCUS Considers Sanctions Against China’s Hikvision: Reports
The possible inclusion of Hikvision on the SDN List would have far-reaching consequences because its equipment is used -in more than 180 countries.
May 10, 2022 -
453Hong KongHKEX, SFC to Open HKIDR Testing to Market on 16 May
Regulated intermediaries are asked to get ready for the testing, which is mandatory. The HKIDR is expected to be implemented in the later part of Q4 2022.
April 27, 2022 -
605AML / KYCPwC Concludes Review of OCBC Anti Fraud Systems
A review of OCBC's anti-fraud systems and procedures concluded that the bank should take a more "integrated approach" to combat fraud and scams.
April 26, 2022 -
328Australia & NZASIC Extends Product Intervention Order Targeting CFDs
Since the product intervention order took effect in March 2021, ASIC has observed few losses, margin close-outs, and negative balance occurrences affecting retail client.
April 12, 2022 -
305Hong KongHKEX Publishes Testing Guidelines for HKIDR Implementation
HKEX has published testing guidelines for market participants and intermediaries ahead of the implementation of the new investor identification regime.
April 5, 2022 -
500Big PictureFSB Publishes Work Programme for 2022
Key focus areas include work to address Covid-19 scarring effects, enhance cross-border payments, and address financial risks from climate change.
April 1, 2022 -
306FeatureSEBI to Allow Exchanges to Offer Commodity Index Options
SEBI has set out a product design and risk management framework that should be used by exchanges looking to offer such products.
March 29, 2022 -
368Enforcement
SEBI Probes Investment Banks Over Possible Insider Trades
SEBI's new AI-based surveillance systems have detected possible insider trades by related parties of investment bankers.
March 28, 2022 -
491AML / KYCSFC Sets Out Expectations on Managing BEC Risk
Most successful business email compromise frauds occurred because LCs did not check or verify the identities of email senders or they ignored red flags.
March 25, 2022
