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

    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.

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