India

Market Infrastructure

SEBI to Tighten Investment Adviser Rules

By Samuel Riding | 10/10/2016

Revisions aim to address gaps and overlapping laws and standard regulations

Market Infrastructure

India Calls Top Brokers to Account

By Samuel Riding | 07/10/2016

Show cause notices issued to brokers for alleged involvement in USD853mn spot exchange scam.

Capital / Liquidity

India’s Finance Ministry, RBI Revisit Bad Loan Plans

By Samuel Riding | 07/10/2016

Finance secretary says idea of ‘bad bank’, opposed by ex-governor, can resolve stressed assets problem.

AML / KYC

Former Mega Bank Chairman Arrested in Taiwan

By Samuel Riding | 05/10/2016

Ex-chairman alleged to have offloaded stock in advance of US fine.

AML / KYC

Taiwan FSC Chairman Steps Down Amid Mega Scandal

By Samuel Riding | 04/10/2016

FSC vice chairman also quits, chairman to be replaced by Huang Tien-mu.

AML / KYC

US Regulator Finds Lapses at Another Mega Bank Branch

By Samuel Riding | 03/10/2016

Mega Bank now under scrutiny for suspect transactions between Chicago and Panama.

Market Infrastructure

HKMA Issues Guidelines on Penalties for OTC Rule Breaches

By Samuel Riding | 03/10/2016

Authority says it will not automatically link fines with profit gained, loss avoided from breaches.

Market Infrastructure

India Kicks off Commodity Options Regime

By Samuel Riding | 29/09/2016

Advisory committee recommends SEBI permit trading; regulator to issue guidelines ‘in due course’.

Market Infrastructure

SEBI Details Commodity Exchange Investor Protection Rules

By Samuel Riding | 28/09/2016

All penalties levied by exchanges will enter investor protection fund.