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Structural Regulation
Stock Exchange Reality: Profit Versus Regulations
By Peter Guy | 27/11/2017
HKEX and SFC recently decided to admit dual class share listings, but reject a start-up board. Their decisions will change key regulatory principles.
KYC & CDD
No Privacy in Paradise
By Peter Guy | 13/11/2017
Look beyond the lurid financial gossip and the Paradise Papers show how technology is opening the banking system to scrutiny.
Cloud & Infrastructure
Thailand to Boost Fintech Use With New Law
By Garima Chitkara | 09/11/2017
Regulator says current laws are hindering development of financial technology sector; aims to promote ‘full scale digital economy’.
Structural Regulation
Hong Kong Dual-class Listings Not Quite a Brave New World
By Peter Guy | 30/10/2017
Abandoning plans for third board and allowing main board dual-class shares do nothing to support start-ups or attempts to reinvent HK economy.
Structural Regulation
US, Europe Agree Margin Requirement, Trading Venue ‘Comparability’
By Editors | 16/10/2017
Swap dealers or major market participants subject to EC margin rules can assume ‘substituted compliance’ when dealing in US.
Structural Regulation
HK Regulator Seals 1st Conviction of Unlicensed Offshore Brokerage
By Editors | 25/09/2017
ETrade HK advertised its services for four years without a license; SFC says successful prosecution a 1st for the offence.
Anti-Money Laundering
Philippines Banker Indicted for Bangladesh Heist Role
By Editors | 11/09/2017
Banker accused of facilitating transfer of $14mn into fake accounts, transferring money to a single account without following KYC procedures.
Structural Regulation
Don’t Expect New EU Equivalency Decisions for Asia
By Samuel Riding | 07/09/2017
Ben Pott, head of government affairs at NEX Group, suggests Brexit and the time taken to resolve US-EU CCP issue, make equivalency rulings unlikely.
Cryptocurrency
Banks’ Own Cryptocurrencies Herald a Revolution
By Peter Guy | 04/09/2017
Improved access for consumers and step towards cashless economy made possible by proprietary cryptocurrency systems.
Cryptocurrency
China Joins Stampede to Regulate ICOs
By Samuel Riding | 31/08/2017
Regulators to introduce rules on ICOs/ITOs which raised nearly $400mn in 1st half of 2017; follows moves by the US and Singapore in July.
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