Editors

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    Regulation Asia relies on a team of journalists, writers and editors to cover regulatory announcements across Asia Pacific. editorial@regulationasia.com

    Articles by Editors

    AML / KYC

    SFC Fines Yardley Securities for AML/CFT Breaches

    17/03/2021

    Yardley Securities processed and approved third party fund transfers without proper due diligence. Staff were not aware their employer had an MLRO.

    Capital / Liquidity

    Banks Facing FRTB Data and Modeling Difficulties

    17/03/2021

    Data was the number one challenge identified for FRTB implementation, with 59% of 131 respondents to a Bloomberg poll citing it as their main challenge.

    Securities / Derivatives

    PSE Proposes Tighter Rules for Listings via Reverse Takeover

    17/03/2021

    Companies will be required to conduct a public offering of at least 10 percent of their shares within one year from closing a transaction that results in a backdoor listing.

    Enforcement

    Australia Considers Legislation to Make Boards Liable for Cyber Risk

    17/03/2021

    Legislation currently before Parliament includes security obligations for entities responsible for critical infrastructure, a list that will be significantly expanded.

    Capital / Liquidity

    Thai Banks Announce Lower Dividends Amid Declining Profitability

    17/03/2021

    The dividend announcements are in line with the central bank’s requirements for banks to limit payouts to 50 percent of 2020 net profit.

    Securities / Derivatives

    Taiwan FSC Directs More Firms to File Reports in English

    17/03/2021

    A total of 657 listed companies are required to file English-language reports this year, up from 351 firms last year.

    Securities / Derivatives

    SEC Thailand Introduces New Securities Licence Types

    17/03/2021

    The two new licences are for firms that serve as intermediaries only for equity instruments, and for firms managing private funds.

    Big Picture

    New Report Explores Outlook for Hong Kong Virtual Banks

    17/03/2021

    The paper features case studies of  Revolut and Tinkoff Bank, as well as insights from interviews with all eight Hong Kong virtual banks.

    Fintech / Regtech

    SGX, Marex Spectron Join Forces on Ferrous Analytics Tools

    17/03/2021

    Marex Spectron will apply its analytics tools on publicly available data for SGX commodity derivatives to provide Titan OTC participants with in-depth analysis and richer datasets

    Securities / Derivatives

    ESMA to End 0.1% Threshold for Short Position Reporting

    16/03/2021

    ESMA says the current financial market environment no longer resembles the emergency situation that required it to tighten short position reporting rules last March.

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