All posts tagged "Surveillance"
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402FeatureSGX RegCo Proposes Removal of Minimum Trading Price Rule
SGX RegCo is proposing to scrap the MTP rule in light of its suite of other measures to deal with market manipulation, including the pairing of trading restrictions with ‘Trade with Caution’ alerts.
November 29, 2019 -
6391Contributed ArticleRegulatory Data: Arrows for the Quiver?
Banks need to be cognisant of how the data they provide to regulators is being used, says Herbert Smith Freehills in its 2019 Global Bank Review.
October 25, 2019 -
864AML / KYCFighting Financial Crime: HSBC Unveils New AML Tool
The tool, which was deployed in the UK and Hong Kong on August 30, will be rolled out in a further 39 markets through 2020.
October 10, 2019 -
499Asia-PacificPhilippines Amends Framework for Identifying D-SIBs
The BSP will give more importance to a bank’s size and interconnectedness when deciding which lenders should be classified as D-SIBs.
October 4, 2019 -
645FeatureSingapore FIs Need Stronger Cyber Risk Culture: MAS CSAP
CSAP members cite poor risk culture as a frequent contributing factor during cyber incidents, highlighting that clear expectations must be set at the board and senior management level.
October 1, 2019 -
511Australia & NZASIC Updates Guidance on Climate Risk Disclosures
The new guidance describes climate change as a "systemic risk that could have a material impact on the future financial position, performance or prospects of entities".
August 14, 2019 -
502EnforcementUS SEC Penalises Nomura for Mis-sold Mortgage Backed Securities
Nomura Securities International has agreed to repay approximately $25mn to affected customers and $1.5mn in SEC fines to settle the charges.
July 17, 2019 -
944Feature
MAS Raises Conduct Concerns in Financial Advisory Sector
The MAS has commenced a review of the disciplinary frameworks at financial advisory firms, with a view to eventually sharing best practices and developing further guidance.
July 15, 2019 -
523Capital RegulationRBI to Step Up Monitoring of Shadow Banking Sector
Governor Shaktikanta Das says the RBI will increase its monitoring of NBFCs and issue final liquidity risk management rules for the sector "soon".
June 11, 2019 -
871EnforcementFinance Should be a Force for Good: MAS
Financial institutions need to build trust, inclusivity and sustainability in order to be a force for good, MAS managing director Ravi Menon said in a speech on Monday.
June 5, 2019
