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
Market Abuse
ASIC Disciplinary Panel Fines Stockbroker Over Trade Pricing
07/02/2023
Wilsons Advisory and Stockbroking reported over 2,000 trades as TWPI transactions in circumstances where the trades did not provide price improvement.
Conduct, Culture & Accountability
US SEC Expands Staff Messaging Probe to Hedge Funds
07/02/2023
The SEC has asked firms including Point72 Asset Management and Citadel to search employees’ personal devices for evidence of business dealings via unapproved channels.
Sustainable Finance
BNM Issues Consultation on New Financial Inclusion Framework
07/02/2023
BNM says the vision of the Framework is to provide a more expansive and holistic approach to elevate financial well-being in Malaysia.
Structural Regulation
Morgan Stanley Wins Approval to Fully Own China Fund Business
07/02/2023
Morgan Stanley Investment Management becomes the 7th foreign firm approved to fully own a domestic mutual fund business.
Cryptocurrency
Thailand Grants Crypto Fund Managers Greater FX Flexibility
07/02/2023
The amendment will give digital asset fund managers greater flexibility to purchase digital assets overseas and make payments for related expenses.
Clearing & Post-Trade
SEBI Proposes to Prevent Brokers from Holding Client Funds Overnight
07/02/2023
SEBI proposes to require trading and clearing members to move all client funds to clearing corporations at the end of each trading day to prevent broker misuse.
Conduct, Culture & Accountability
NZ FMA Offers Guidance on Providing Investment Advice
07/02/2023
The guidance focuses on situations where it is difficult or impractical to access information to support reasonable grounds for financial advice on an investment product.
Cryptocurrency
FASB to Propose New Crypto Accounting Standard in March
07/02/2023
An exposure draft to be issued by end-March will require companies to measure crypto assets using fair value accounting.
Anti-Money Laundering
FATF Publishes Annual Report for 2021-2022
07/02/2023
The report sets out the achievements of the FATF under the second year of Marcus Pleyer’s Presidency.
Sustainable Finance
FSDC Paper Sets Out Key Factors to Facilitate VCM Growth
07/02/2023
FSDC paper discusses key considerations that would be conducive to the development of Hong Kong’s VCM ecosystem.
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