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

    AML / KYC

    Investors Accuse BSEC Chairman of Embezzlement, Money Laundering

    24/08/2019

    The chairman of Bangladesh’s securities regulator is alleged to have approved IPOs for companies that falsified their financial statements to show higher profitability.

    Market Infrastructure

    SFC Highlights Liquidity Risk Management Deficiencies at Funds

    24/08/2019

    The SFC asks fund managers to review their current policies, procedures, systems and processes and take immediate action to rectify any inadequacies or deficiencies.

    Securities / Derivatives

    SEBI Eases Requirements for FPI Registration

    23/08/2019

    SEBI has consolidated 57 circulars and 183 FAQs issued over the years into a single circular for FPIs, easing several requirements in the process.

    ANZ New Zealand to Review Internal Financial Reporting Processes

    23/08/2019

    The FMA has determined that ANZ should have disclosed the sale of a luxury property to its ex-CEO’s wife at below-market prices as a related party transaction.

    Securities / Derivatives

    ASIC Proposes Ban on Binary Options, Restrictions on CFDs

    23/08/2019

    In 2018, licensed binary options and CFD issuers made about $2bn from these products, largely attributed to retail client losses, fees and costs.

    SEBI to Force Borrowers to Disclose Defaults to CRAs

    23/08/2019

    The move follows a spate of defaults in India where credit rating agencies were blamed for being unable to flag potential credit risks.

    Enforcement

    SEBI Targets Insider Trading with Informant Reward Mechanism

    22/08/2019

    Whistleblowers will be eligible for rewards up to $139,000 and, if culpable themselves, for amnesty or settlement with SEBI.

    Securities / Derivatives

    SZSE ChiNext Board to Adopt Registration Based IPO System

    22/08/2019

    Shenzhen’s ChiNext board has begun work to prepare for adoption of a registration-based IPO system, currently in use at Shanghai’s new tech board.

    ASIC to Monitor Progress to End Conflicted Remuneration

    22/08/2019

    ASIC will investigate the steps licensed entities are taking to end grandfathered conflicted remuneration for financial advisers and whether the benefits are passed on to clients.

    Capital / Liquidity

    Singapore Large Exposures Rules to Take Effect in Oct 2020

    22/08/2019

    MAS published a draft large exposures framework in early 2018, trying to meet the BCBS timeline for adoption in January 2019. The final rules will now take effect in October next year.

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