
Tag Archives: Regulation


June Regulatory Round-up: New FAQs on suitability requirements; SFC fines Credit Suisse for disclosure misconduct; FATF releases HK AML evaluation

MAS drops ex-ante approval requirement for cross-border financial services

2019 regulatory outlook: What’s in store for Asiaโs private banks?

China regulator launches new rules for banks’ WM subsidiaries

SFC implements open-ended fund company structure

MAS gathers legal authority to enforce resolution regime

Pre-IPO trusts gain traction among Chinese entrepreneurs

Asian HNWIsโ search for privacy โconsigned to historyโ

Expect some โspilloverโ from MiFID II in Asia

HK regulators confront conflicts of interest when selling in-house products

Foreign banks to be given “more room” in China: CBRC chairman

HK signs CRS agreement with Switzerland, plans afoot to enter multilateral network

Chinese wealth managers in HK will play by the same rules, says SFCโs Alder

โTime to enforce the lawโ: Indonesian tax office

September Regulatory Round-up: Chinaโs ICO ban may benefit HK and SG; SFC โshifts focusโ to corporate governance

Australian regulator to set up โChief Data Officeโ

Number of SFC investigations declines as regulator “shifts focus” to corporate governance

Hong Kong signs fintech agreement with Malaysia

CBRC publishes provisional regulations covering the WMP sales process

HKMA to consult on loss-absorbing capacity policy early next year

CRS will temporarily increase financial complexity, consultant says

Changes to financial resources rules will bring HK โin lineโ with international standards, says SFC

Hong Kong signs agreement with UK on regulation of cross-border financial activities

Singapore signs fintech agreement with Thailand, updates banking supervision MoU

Hong Kongโs revised bank resolution framework is credit negative, says ratings agency

Indonesia adds major financial centre to its tax reporting network

No local bank wants to be the first “to publicly tackle culture issues”, says HK-based lawyer

Hong Kongโs IAMs and family offices want clearer guidance on KYC requirements

Data protection and liability in focus as banks adopt AI, says law firm

AML officers in Hong Kong say they are โhighly stressedโ amid regulatory clampdown

Hong Kong signs fintech agreement with Australia

New suitability requirements enforced with questions unanswered, say lawyers

Customised regtech solutions key for PBs as a “one-size-fits-all approach simply doesnโt work”

MAS seeks industry’s input on robo advisory regulations

Banks have โflexibilityโ in their customer identification methods, says HKMA

Focus shifts to Malaysia amid regionโs tax amnesty wave, says consultancy

Private banks require โa lot of guidanceโ amid multitude of regulatory consultations

Indonesia authorises tax office to access account information at financial institutions

Taiwan opens AML office ahead of regional task force evaluation

AML processes to be tested by incoming EU funds transfer regulation, warns expert

Credit Suisse rolls out compliance risk technology

In the eye of the storm

New regulation redefining HNW investors to hit private banks, HNW intermediaries

Shenzhen-HK Stock Connect could start this year, says China premier

Tycoon pursues case against Goldman

Regulators zero in on private banking intermediaries
