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
Hong Kong SFC Investigates Ramp-and-Dump Scam
29/11/2021
Restriction notices have been sent to two brokerage firms prohibiting them from dealing in assets worth HK$312mn held across 17 trading accounts.
Structural Regulation
Australia Introduces Bill to Enable CCIV Fund Structure
29/11/2021
The CCIV has the potential to unlock significant opportunities for the Australian funds management industry, says Financial Services Council CEO Sally Loane.
Payments & Settlements
Japan FSA Orders Mizuho to Undergo Structural Reforms
29/11/2021
Mizuho is directed to formulate plans to improve its governance and prevent more system failures from occurring. Three top executives will resign.
Structural Regulation
Indonesia Forms National Working Group on Benchmark Reform
29/11/2021
The working group will provide information and education to market players and recommendations on alternative benchmark rates.
Structural Regulation
SFC Issues Technical Guidance for New Reporting Regime
28/11/2021
A new paper introduces a pre-defined file format for OTCR submissions. Guidance on the new investor identification regime has also been released.
Anti-Money Laundering
HK ICAC Charges Four for Concealing Backdoor Listing
28/11/2021
A retired lawmaker and his son concealed an agreement with a third party who agreed to pay them about HK$210mn for control of a listed stock.
Cryptocurrency
SEC Thailand Proposes Regulations to Ban Privacy Coins
28/11/2021
The proposed ban is aimed at preventing the misuse of digital assets as a tool to commit crime, the SEC said.
Structural Regulation
Chinese, US Authorities Working to Resolve Audit Issues
28/11/2021
CSRC director-general Shen Bing said authorities are “working very hard” to prevent Chinese companies being delisted from US exchanges.
Structural Regulation
Hong Kong FRC to Increase Public Disclosures on Investigations
28/11/2021
The Financial Reporting Council will increasingly disclose its investigations when cases involve high public interest.
Fraud, Scams & Cybercrime
ASIC Sues ANZ Over Home Loan Introducer Programme
27/11/2021
ASIC says ANZ breached credit laws by accepting customer information and documents from unlicensed individuals, some of which was fraudulent.
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