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Anti-Money Laundering
Japan FSA Probing AML Compliance at Regional Banks
By Editors | 12/07/2017
Regulator concerned rules introduced last October are not being executed consistently as regional and other smaller banks deal with increasing number of international transactions.
Conduct, Culture & Accountability
Japan Finalises Stewardship Code
By Samuel Riding | 31/05/2017
Final version of non-legally binding code includes several new principles for institutional investors.
AI Risk & Governance
Japan FSA Anticipates ‘C2B’ Banking System
By Samuel Riding | 31/05/2017
Commissioner Nobuchika Mori suggests fintech will facilitate provision of ‘bespoke products to mass customers’.
Market Abuse
Japan Regulator Cites Broker for Spoofing
By Samuel Riding | 20/03/2017
Regulator says Virgin-islands registered broker manipulated four stocks.
Cloud & Infrastructure
MAS Enters Japan Fintech Partnership
By Samuel Riding | 15/03/2017
Japan recently forged fintech link with UK; regulatory agreements over past 12 month belie talk of ‘economic nationalism’.
Market Risk
Japan to Audit Regional Banks’ Foreign Debt Exposure
By Samuel Riding | 09/03/2017
Probe will also look at senior management involvement in decisions of asset management units.
KYC & CDD
Indonesia to Issue CSR Circular by end-March
By Samuel Riding | 06/03/2017
Circular will be followed in May by ‘regulation in lieu of law’ to scrap banking secrecy.
Conduct, Culture & Accountability
Japan Regulator Issues ‘Culture’ Recommendations
By Samuel Riding | 21/02/2017
Seven ‘principles’ designed to ensure financial business operators focus on customer needs.
Supervision & Enforcement
Japan, Iran Agree Joint Supervision
By Samuel Riding | 15/02/2017
Letter covers cross-border establishments, includes provisions on information sharing, training.
Market Risk
ISDA Asks for 6-months Grace on VM Requirement
By Samuel Riding | 09/02/2017
Association says market participants aren’t ready, delay will have minimal impact.
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