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
Structural Regulation
FSA Issues Guidance for Asset Managers Moving to Japan
12/04/2022
Regulatory requirements have also been amended to allow foreign securities companies entering the Japanese market to submit their registration applications in English.
Anti-Money Laundering
AUSTRAC Issues Guidance on Engaging AML/CTF Advisers
11/04/2022
Without endorsing any AML/CTF adviser, AUSTRAC says it recognises the benefits and efficiencies that can be gained by firms from engaging third party consultants.
Structural Regulation
SEBI Standardises Industry Classification Framework for CRAs
11/04/2022
The standardised framework will help enable uniformity in the classifications being used across sectors and in the securities market, SEBI said.
Anti-Bribery & Corruption
New York Court Convicts Ex-Goldman Exec in 1MDB Case
11/04/2022
Following an eight-week trial, former Goldman Sachs managing director Roger Ng was convicted on charges of bribery and money laundering. He faces up to 30 years in prison.
Structural Regulation
Global Standard-setters for Audit Need More Diverse Funding
11/04/2022
A new paper calls for financial commitments from investors, regulators, stock exchanges, national standard-setters and auditors to support the work of international audit and ethics standard-setters.
Operational Risk
APRA to Set Out Expectations for FIs Dealing in Digital Assets
11/04/2022
APRA will not be introducing new regulatory requirements for FIs or attempting to hinder innovation. Rather, it will be asking them to closely assess and monitor new operational risks.
Cryptocurrency
Indonesia to Start Taxing Crypto Investments, Fintech Services in May
10/04/2022
Indonesia will charge a capital gains tax and VAT on crypto transactions, as well as interest and fees generated from fintech services, starting on 1 May 2022.
Conduct, Culture & Accountability
Westpac Super Trustee Fined for Overcharging Commissions
10/04/2022
On top of a A$20mn penalty, BT Funds Management will pay A$9.8mn in remediation to over 9.900 superannuation members.
Structural Regulation
HSBC Raises Stake in China Securities Venture to 90pc
10/04/2022
HSBC Qianhai Securities was set up in 2017 and primarily engages in securities underwriting, brokerage and investment advisory services
Custody & Infrastructure
Thai SEC to Allow Use of Foreign Custodians in DR Issuance
10/04/2022
Under revised guidelines, depository receipt issuers can directly appoint a global custodian or foreign agent to hold overseas securities.
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