Posts By Editors, Regulation Asia
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Hong Kong
Hong Kong Regulator Reiterates IPO Sponsor Liability
The Securities and Futures Commission has reaffirmed that sponsors of initial public offerings (IPO), particularly banks that prepare companies for a Hong Kong listing, are criminally liable for defective prospectuses.
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Japan
Japan Regulator Plans to Allow Crowdfunding
The Financial Services Agency plans to allow businesses to procure small amounts of funding from the general public by issuing shares online.
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China
China Endorses Launch of First Large Private Investment Firm
China has endorsed the launch of the country's first national-level private investment company, China Minsheng Investment, in Shanghai.
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Japan
Taiwan Plans Cross-Border Stock Trading with Japan
Taiwan will study the possibility of launching a cross-border stock trading scheme with Japan in a bid to boost internationalization of the local bourse, said the country's top financial regulator.
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Securities & Trading
Taiwan Regulator Eyes Pan-Asian Growth for Financial Sector
Taiwan’s Financial Supervisory Commission vowed to support financial institutions' bid to expand into other Asian markets by easing a number of regulatory hurdles in the banking, insurance and securities brokerage industries.
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Securities & Trading
ASEAN on Track to Create Regional Asset Class
Top officials of the ASEAN Exchanges said that member bourses are taking collaborative steps to create, market and promote ASEAN as a single asset class.
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Hong Kong
Hong Kong Regulator Issues Quarter to June Report
The Securities and Futures Commission issued its quarter to June report detailing accomplishments that included the release of a regulatory framework for the over-the-counter derivatives market, and the announcement of a cross-border stock market scheme between Hong Kong and Shanghai.
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United States
Standard Chartered Fined $300 Million by US Financial Watchdog
Standard Chartered will pay $300m over lapses in anti-money-laundering procedures and temporarily suspend its dollar clearing operations with high-risk clients in Hong Kong, the New York State Department of Financial Services (DFS) said.
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India
Indian Large Banks Trim Exposure in Singapore
India’s large banks are reducing their exposure in Singapore amid tightened regulation and oversight by the Monetary Authority of Singapore of foreign banks.
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Securities & Trading
Leveraging Technology for Compliance and Performance
Accuity CEO Hugh Jones describes how advanced systems are revolutionising banks’ ability to meet regulations.
