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

    SSE, SZSE Set to Allow Trading in HK-Listed Dual Class Shares

    05/08/2019

    The Shanghai and Shenzhen stock exchanges are consulting on rule changes that will allow Chinese investors to trade Hong Kong-listed dual-class shares via Stock Connect.

    Enforcement

    Australia: NAB, EY Under Fire Following Whistleblower Leak

    05/08/2019

    A whistleblower has leaked internal NAB documents to highlight the bank’s lax approach to risk management, customer remediation, and conflicts of interest with its auditor.

    Market Infrastructure

    SEBI Seeks Uniform Penalties Framework for Margin Reporting Failures

    03/08/2019

    Fines charged to members for misreporting or non-reporting of margins collected from clients may extend to 100% of the incorrectly or nonreported amount.

    Big Picture

    Singapore: Two-Thirds of Consumers Willing to Try Digital Banks

    03/08/2019

    A JD Power survey has found that 65% of Singapore customers are interested in opening digital bank accounts. The survey ranked HSBC first, OCBC second and DBS third in customer satisfaction.

    Big Picture

    Global Crypto Trading Should be Guided by IOSCO Principles: WFE

    03/08/2019

    “Innovation which has the potential to present systemic risk or is allowed to operate in an unchecked or unregulated manner is detrimental to financial markets and investor interests.”

    Enforcement

    Japan Post to Check 30mn Contracts in Insurance Mis-selling Probe

    02/08/2019

    Up to 183,000 Japan Post customers have been affected by unlawful insurance sales practices over the past five years, double the amount initially found.

    Market Infrastructure

    IOSCO Urges Market Participants to Move to RFRs ‘Now’

    02/08/2019

    IOSCO says early transition to risk free rates will help to mitigate potential financial stability and conduct risks associated with the transition away from LIBOR.

    Enforcement

    Compensation for Poor Advice Reaches A$120m: ASIC

    02/08/2019

    NAB paid the most to compensate customers for failures by the largest number of advisers, and is expected to take the longest to complete its remediation programme.

    Fintech / Regtech

    TSE Seeks ‘Data Sandbox’ Partners to Support Innovation

    02/08/2019

    The Tokyo Stock Exchange is looking to startups, data providers and so-called ‘innovation partners’ to help create new services for the securities sector.

    Enforcement

    Thailand SEC to Incorporate AI in Price Manipulation Probes

    02/08/2019

    Existing investigation and fact-finding procedures currently take 1.5 years before civil sanctions or penalties are imposed.

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