Posts By Editors, Regulation Asia
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29Minimising the UMR Compliance Burden by Embracing Automation
Editors, Regulation Asia April 15, 2021Neil Murphy talks to Regulation Asia about how prepared phase 5 and 6 firms are for compliance and how TriOptima is easing the burden through automation.
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51FSC Korea to Create Policy on Use of AI in Financial Services
Editors, Regulation Asia April 15, 2021The policy seeks to improve fairness and transparency, and protect consumers from newly emerging financial crimes.
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12Mizuho Head to Turn Down JBA Chairmanship – Report
Editors, Regulation Asia April 15, 2021Mizuho Financial Group president and group CEO Tatsufumi Sakai was due to take over as JBA chairman on 1 April.
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112HSBC Agrees to Share Documents in Meng Extradition Case
Editors, Regulation Asia April 14, 2021A Hong Kong judge has approved an agreement between Huawei and HSBC that includes document sharing by the bank, with some redactions.
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85Thailand to Require UBO Transparency in Bond Markets
Editors, Regulation Asia April 14, 2021Non-residents who invest in debt securities in Thailand are required to open Segregated Securities Accounts with custodians at the UBO level.
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85FSB Issues Guidance on Implementing SFT Data Standards
Editors, Regulation Asia April 14, 2021The FSB has published FAQs to help national authorities implement the SFT Data Standards to facilitate global collection and aggregation of SFT data.
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71SEBI Fines Yes Bank, Three Others for Mis-selling AT1 Bonds
Editors, Regulation Asia April 14, 2021SEBI says Yes Bank misled individual investors into buying risky AT1 bonds and did not inform them of the risks involved or conduct risk profiling.
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39Australian Charged With Insider Trading Over Diamond Discovery
Editors, Regulation Asia April 14, 2021The man traded while in possession of inside information relating to a diamond discovery by Lonrho Mining in Africa in 2012.
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135Singapore: Former Banker Admits to Cheating Seven People
Editors, Regulation Asia April 13, 2021Han Delong worked for UOB between August 2014 and December 2015, and for OCBC between March 2016 to January 2017.
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48ASIC Seeks Penalties from Westpac Over Credit Insurance Sales
Editors, Regulation Asia April 13, 2021ASIC says Westpac debited premiums for consumer credit insurance from customers who did not agree to purchase the products.
