Editors
Regulation Asia relies on a team of journalists, writers and editors to cover regulatory announcements across Asia Pacific. editorial@regulationasia.com
Articles by Editors
AML / KYC
ISDA Calls For Guidance on Handling of Derivatives Impacted by Sanctions
25/12/2019
ISDA proposes 8 principles sanctions authorities can consider to ensure safe operation of markets, and minimise derivatives market disruption and economic consequences for non-sanctioned entities.
Market Infrastructure
ASIC, APRA Issue Updates on Governance, Accountability
25/12/2019
The updates are a response to the Royal Commission, which called on both regulators to reform their internal accountability frameworks to reflect requirements prescribed by BEAR.
Securities / Derivatives
HKEX to Shorten IPO Settlement to Single Day
25/12/2019
HKEX hopes to shorten Hong Kong’s five-day IPO settlement process to just one day by end-2020.
AML / KYC
FSC Korea Enables Online Account Opening for Foreigners
24/12/2019
The FSC will allow non-face-to-face account opening by foreigners residing in Korea, and by legal representatives of corporations.
Enforcement
SFC Fines Adamas Asset Management for Disclosure Failings
24/12/2019
The asset manager was fined HK$2.5mn for filing 339 incorrect or late notifiable interest disclosures to the SEHK and eight listed companies.
Market Infrastructure
PayPal Obtains Online Payments Licence in China
24/12/2019
PayPal’s acquisition of a majority stake in Gopay gives it access to licences that allow it to offer online, mobile and cross-border renminbi payments.
Enforcement
CFTC Charges HSBC Exec with Manipulation, Fraud
24/12/2019
The former head of HSBC’s North American interest rates business allegedly manipulated prices for five-year basis swaps used to price a bond issuance and a related swap.
Securities / Derivatives
Japan Solicits Feedback on Revised Stewardship Code
24/12/2019
The changes add expectations that sustainability issues will be considered in the investment process, and introduce expectations for service providers.
Enforcement
ASIC Launches Court Proceedings Against Volkswagen Financial Services
24/12/2019
ASIC says Volkswagen contravened the responsible lending provisions of the National Credit Act in relation to 49,380 loan contracts.
APRA Issues 2nd Consultation Package on Superannuation Data Collection
24/12/2019
APRA has released two topic papers addressing the most urgent gaps in its data collection, particularly for choice products and investment options.
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