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

    Bangladesh Regulator Approves Rules for ‘Alternative Trading Board’

    06/12/2019

    The Bangladesh Securities and Exchange Commission has approved a set of rules to enable the trading of non-listed companies on a new ATB board.

    Capital / Liquidity

    CBIRC Finalises Net Capital Rules for Banks’ Wealth Management Units

    06/12/2019

    The regulator has fixed the minimum net capital for commercial lenders’ wealth management subsidiaries at 500 million yuan, and at least 40 percent of the net assets.

    Enforcement

    ASIC Files Criminal Charges Against Ex-APRA Manager for False Documents

    06/12/2019

    The former APRA senior manager has been criminally charged for providing false documents to the regulator while serving as CEO of a credit union.

    Enforcement

    Nomura Releases New Code of Conduct for Employees

    05/12/2019

    Nomura Holdings has released a 19-point code of conduct for its employees following information leaks that subjected the firm to regulatory action.

    ASIC Bans Cold Call Selling of Life Insurance, CCI Products

    05/12/2019

    The ban on unsolicited cold-call sales of direct life and consumer credit insurance follows a A$700,000 penalty against CBA’s CommInsure for hawking offences.

    Fintech / Regtech

    Korea Announces New Measures to Boost Fintech Development

    05/12/2019

    Among other measures, the FSC said that it would promote the use of regulatory sandboxes to produce at least 100 cases of innovative financial services by March 2020.

    Crypto / Digital Assets

    ASIC Takes Legal Action Against Unregistered SMSF Scheme Operators

    05/12/2019

    Investors were encouraged to roll superannuation monies into a self-managed super fund to invest – by way of a loan – in an unregistered scheme operated a former AMP adviser.

    Securities / Derivatives

    China Extends Income Tax Exemptions for Stock Connect Participants

    05/12/2019

    Mainland investors’ profits made through Stock Connect and the MRF scheme will be exempt from income tax until 31 December 2022.

    Securities / Derivatives

    Hong Kong SFC Waives Licensing Fees Amid ‘Challenging’ Environment

    05/12/2019

    The decision was made to relieve the regulatory cost burden on the securities and futures industry, taking into account the “current challenging market environment”.

    AML / KYC

    New Zealand Police Releases AML/CTF Assessment

    04/12/2019

    NZ Police assessment identified trusts as attractive money laundering vehicles given government plans to exclude them from strengthened beneficial ownership disclosure regime

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