国际性衍生品市场动态 ｜监管 Regulations

monitoring to ensure orderly markets, a core objective for ESMA.”

EBA calls for more proactive engagement in anti-money laundering and counter-terrorist

The European Banking Authority (EBA) published its second report on the functioning of AML/CFT supervisory colleges in the EU. This Report sets out findings and observations from EBA staff participation in AML/CFT college meetings and from its monitoring activities. The report also highlights areas for improvement. In particular, AML/CFT colleges are not yet fully embedded in supervisory processes. The Report reminds the supervisors of the importance to exchange information in colleges on an ongoing basis and without delay, particularly where material weaknesses in the institution’s AML/CFT framework have been identified. It also emphasizes the need for colleges to be organized in a more risk-sensitive manner with more frequent meetings being held for those cross-border institutions that are exposed to higher risks of ML/TF.

ASIC warns brokers considering high-risk offers to retail investors

Australian Securities and Investment Commission (ASIC) is warning brokers to be careful about or reconsider offering high-risk products and services to retail investors, such as securities lending, crypto-assets and offers of ‘zero’ or ‘low-cost’ brokerage. Since the onset of the COVID-19 pandemic, ASIC has seen an increase in the number of brokers. However, to broaden their revenue base, some brokers are seeking to offer retail investors high-risk products or services that may be unfair, inappropriate or result in poor outcomes. ASIC said that Australian financial services (AFS) licensees may be liable for substantial civil penalties if they do not do all things necessary to ensure the financial services covered by their licenses are provided efficiently, honestly and fairly.

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