Regulation Asia relies on a team of journalists, writers and editors to cover regulatory announcements across Asia Pacific. editorial@regulationasia.com
Securities / Derivatives
Australian Senator Seeks to End Short Selling by Super Funds
01/03/2021
Senator Gerard Rennick says short selling practices are an example of how superannuation funds aren’t protecting the interests of their members.
Enforcement
ASIC Launches Suit Against CBA Units Over Compliance Failures
01/03/2021
Commonwealth Bank said the issues arose from errors such as IT system coding or systems issues, human error and/or data entry errors.
AML / KYC
NZ Real Estate Agent Reprimanded for AML Non-Compliance
01/03/2021
Property Brokers Limited is required to take immediate action to rectify all areas of non-compliance and will continue to be closely monitored by DIA officials.
Crypto / Digital Assets
Etrading Software Becomes Registration Authority for DTIs
01/03/2021
The UK-headquartered technology provider has been nominated to become the registration authority for the new ISO standard for Digital Token Identifiers.
Securities / Derivatives
RBI Eases Foreign Investor Access to Defaulted Bonds
01/03/2021
The RBI says FPIs will be exempt from the residual maturity requirement, investment limit and investor limit when investing in defaulted corporate bonds.
Crypto / Digital Assets
Thailand SEC to Enhance Protections for Digital Asset Investors
01/03/2021
The SEC is consulting new qualifications for retail investors in digital assets, and requiring digital asset fund managers and investment advisors to be licensed.
AML / KYC
Malaysia Secures Settlement from AmBank to Resolve 1MDB Claims
01/03/2021
AmBank was used by former prime minister Najib Razak to receive billions of ringgit linked to a 1MDB unit between 2014 and 2015.
Sanctions
NYSE Announces Decision to Delist Chinese Oil Major CNOOC
01/03/2021
The decision was made in light of Executive Order 13959, which was signed in November, and updated guidance provided by OFAC in January.
Crypto / Digital Assets
IOSCO Publishes Work Programme for 2021-2022
28/02/2021
New priorities will be to address the risks of NBFI activities and risks exacerbated by the Covid-19 pandemic such as misconduct, fraud and operational resilience.
Enforcement
FSC Korea Fines Ten Foreign Firms for Short Selling Violations
28/02/2021
The FSC did not name the firms that were penalised, but said the highest fine was KRW 180 million against a firm that committed four violations.
JOIN OUR NEWSLETTER
A daily selection of top stories from the Regulation Asia editorial team