Posts By Editors, Regulation Asia
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335Fintech / RegtechIndia Brokers Asked to Report on AI, ML Systems by 15 Apr
In line with January circular from SEBI, BSE India has asked stock brokers to submit their cybersecurity compliance reports for the Jan-Mar quarter.
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412AML / KYCJapan FSA Proposes Stronger Regulation for Crypto Assets
In a bill to amend the law, the FSA proposes the introduction of stronger protections for investors and restrictions to prevent misconduct in the crypto sector.
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288Australia & NZCBA has Complied with 2014 Financial Advice Licence Conditions
CBA has offered A$9.3mn to compensate customers whose advice was reviewed under the 2014 licence conditions imposed on its financial planning entities.
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615Asia-PacificAustralian Authorities Bust Vietnamese Money Transfer Cartel
The ACCC and Australian police have brought charges against an alleged price-fixing cartel, which is said to have been directed by Vietnam's Sacombank.
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415IndiaSEBI Issues CCP Guidelines for Risk-Based Capital, Net Worth
New norms have been issued by India’s regulator on computing risk-based capital and net worth requirements for clearing corporations.
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703Australia & NZASIC Warns OTC Derivatives Platforms on Overseas Services
OTC derivatives platforms offering services to foreign retail investors may be breaking overseas laws, which may be inconsistent with local obligations to provide services ‘efficiently, honestly and fairly’.
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473Australia & NZUS SEC Recognises NZX as Designated Offshore Market
NZX participants will no longer be required to maintain a reasonable belief that clients are non-US domiciled persons in order to trade on their behalf.
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547Fintech / RegtechHKMA Grants Fourth Virtual Bank Licence to WeLab Digital
The HKMA has granted a fourth virtual bank licence to WeLab Digital, the first stand-alone company to receive the licence.
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354EnforcementTaiwan Raises Max Penalty for Unauthorised Investments from China
Taiwan has passed a legislative amendment raising the ceiling for fines against Chinese investment into local companies without authorisation.
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542EnforcementMAS Bans Former HSBC, UOB Employees for ‘Egregious’ Misconduct
Three individuals have received lengthy bans, in addition to jail terms, for "criminal conduct at the expense of their customers".
