Tag: Regulatory Round-up
December Regulatory Round-up: HKMA raises banks’ awareness of climate risks; HK, S’pore regulators join forces in curbing ramp-and-dump schemes; Singapore and China widen financial cooperation
Jan/Feb Regulatory Round-up: GBA Wealth Management Connect; warning against ramp-and-dump scams; 2021 priorities
October Regulatory Round-up: HK prepped for economic downturn; PB dual role of advisor and trustee comes into question; China continues to open onshore market
September Regulatory Round-up: Banks warned on liquidity risks; China removes quota control on two schemes
July Regulatory Round-up: SFC notes 2% drop in 2018 PWM AUM; HKMA guidance on loss-absorption products stirs uncertainty; China encourages foreign participation in onshore financial industry
May Regulatory Round-up: “Vague” rules cause compliance complications; Concerns over new misconduct reporting laws; Revamp fintech, processes to achieve compliance
April Regulatory Round-up: APAC regulators maintain AML focus; bank culture requires practical enforcement; concerns over conflicting cross-border regulations
China Regulatory Round-up: Reforms impact HNW client product preference
February Regulatory Round-up: Australia’s Banking Royal Commission draws to a close, Deadline for SFC’s suitability rules looms, MAS launches fintech guidance
November Regulatory Round-up: New tax initiatives in China and Malaysia; SFC implements FMCC; regulators introduce several fintech rules
October Regulatory Round-up: Regulators play fintech balancing act
September Regulatory Round-up: MAS lists enforcement priorities; PWMA suggests PWM codes for HK; online suitability a “huge challenge”
August Regulatory Round-up: Rulings on GFC mis-selling claims released; increasing compliance can be risky
July Regulatory Round-up: OFC structure launches in Hong Kong; AML remains focus of compliance
June Regulatory Round-up: Technology not a panacea for compliance pain points
May Regulatory Round-up: HK regulators bring clarity, competition to PB industry
April Regulatory Round-up: HKMA, MAS pursue international standards
March Regulatory Round-up: SFC, MAS outline fintech requirements
February Regulatory Round-up: Credit Suisse responds to SFC enforcement, HKMA steps up on smart banking, Singapore’s new reg reporting structure
January Regulatory Round-up: limited MiFID II impact in Asia; DPM fee transparency; enforcement updates
November Regulatory Round-up: SFAT fines HSBC; Singapore FinTech festival; Paradise Papers leak
October Regulatory Round-up: AML breaches; StanChart under microscope; KYC databases
September Regulatory Round-up: China’s ICO ban may benefit HK and SG; SFC “shifts focus” to corporate governance
August Regulatory Round-up: precedent-setting mis-selling ruling; cybersecurity a concern; CRS less so
July Regulatory Round-up: SFC’s MIC inspections loom; HK to abandon bilateral AEOI approach?
