Posts By Editors, Regulation Asia
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572EnforcementIndia’s PNB Fined for Non-Compliance with SWIFT Norms
The fine is significant because it was at Punjab National Bank where the $1.8b fraud occurred that prompted the RBI's order for banks to link their core systems with SWIFT.
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487IndiaSEBI Amends Norms on Mutual Fund Commissions, Disclosures
SEBI has set a cap on up-fronting of trail commissions and amended disclosure rules to "protect the interests of investors."
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915EnforcementCitigroup Faces $1.2m Fine in Japan over Alleged JGB Manipulation
Citigroup's London office allegedly placed large orders in the 10-year JGB futures market outside of Japanese trading hours that were not executed, but may have mislead investors.
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665Australia & NZAPRA Proposes Updated Guidance on Information Security
APRA is seeking feedback on updated guidance which will help the industry embed the new prudential standard on information security in July.
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939JapanCFTC Expands Margin Comparability Determination for Japan
The amended determination for Japan finds comparability regarding the scope of entities subject to the margin requirements, and the treatment of margining for inter-affiliate transactions.
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602Hong KongSFC’s Alder Speaks on “Greening the Financial System’
The financial sector will have a critical role to play in channelling investment towards sustainable projects on a global scale, said SFC chief Ashley Alder at the Bloomberg BuySide Summit.
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591Securities & TradingTaiwan Launches Simulator for New Continuous Trading System
The simulation platform will operate off-market hours and allow investors to familiarise themselves with the new system, which is set to be launched in March 2020.
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733Asia-PacificBangladesh Looks to Boost Capital Markets with Derivatives, Sukuk Trading
Bangladesh's securities regulator is reportedly formulating new rules to facilitate trading of derivatives and sukuk, while it also considers changes to enhance private placement regulations.
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1.1KInternationalLeading Dealers Adopt DTCC-Euroclear Collateral Management Utility
The Margin Transit Utility provides straight-through-processing and centralised communications and settlement instructions for collateral transfer.
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838Capital RegulationNew Internet-Only Banks in S. Korea to Get Grace on Basel Rules
The FSC wants to grant new internet-only banks three years' grace on Basel III requirements to ease the regulatory burden during the early stages of their business operation.
