Posts By Editors, Regulation Asia
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215JapanJPX-TOCOM Merger Agreement Expected by End-March
JPX and TOCOM plan to merge this year to create an all-in-one bourse that handles both stocks and commodity futures, but challenges will remain even after a final agreement is reached.
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164EnforcementS. Korea FSS’ Integrity Questioned in Local Report
As discussions progress on granting the FSS greater investigative powers, a local media report raised questions on the regulator's integrity, citing its 2018 requests that fines against its staff be dismissed.
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227EnforcementSingapore Court Issues First Jail Sentence for 2013 Penny Stock Crash
Former Ipco International interim CEO Goh Hin Calm was sentenced to three years imprisonment for his role in the 2013 multi-billion-dollar penny stock crash.
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379EnforcementUK FCA Fines UBS for MiFID Transaction Reporting Failures
Over 9.5 years, UBS AG made 135.8 million errors in its transaction reporting, over a third of which involved erroneously reported transactions which were not in fact reportable.
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228InternationalISDA Publishes Full Version of Derivatives Lifecycle Blueprint
The ISDA Common Domain Model for interest rate and credit derivatives has been published, part of a push to standardise global derivatives trading and automate market practices.
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249EnforcementSFC Orders Brokers to Freeze Client Assets in Market Manipulation Case
The prohibition orders as part an investigation into suspicious trading which appeared to create a false market in China Ding Yi Feng shares leading to an "irrationally high share price".
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215EnforcementIndian Billionaire Arrested in London over $2bn Bank Fraud
India’s diamond billionaire, Nirav Modi, has been arrested in London for his alleged role in a $2bn fraud at Punjab National Bank reported last year.
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192IndiaSEBI Consults on Adoption of Dual Class Share Structures
SEBI's consultation paper seeks feedback on the issuance of dual class shares by companies already listed in India and those that may be in future.
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329Australia & NZRBA’s Kent Urges Continued Preparation for the End of LIBOR
The RBA's Christopher Kent urges market participants to continue preparing for the end of LIBOR by moving to alternative RFRs and adopting more robust fall-back provisions in contracts.
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328Capital RegulationBasel III Monitoring Reveals Fall in Big Banks’ Capital Ratios
The latest monitoring exercise indicates that all banks are meeting CET1 and LCR requirements, but that the biggest banks' capital ratios have fallen for the first time.
