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

    Nine Taiwan Brokers Approved to Issue ETNs – Report

    22/02/2019

    The Taiwan Stock Exchange and GreTai Securities Market have so far approved a total of 9 securities firms to issue exchange traded notes in Q2 this year.

    HKMA Chief of Ten Years Set to Retire in September

    22/02/2019

    Norman Chan will leave behind a healthy banking industry with strong capital ratios and low bad debt levels. A selection panel will identify the HKMA’s next chief.

    Market Infrastructure

    No-Deal Brexit to Have Little Impact on S. Korea, says FSS

    22/02/2019

    If the UK crashes out of the EU without an orderly exit deal in place, the damage to South Korea’s economy will be slight, according to the Financial Supervisory Service.

    AML / KYC

    China Strengthens AML/CFT Regime with New Guidance

    22/02/2019

    CBIRC has released guidance to help financial institutions improve AML/CFT controls, on the heels of recent news that PBOC is scrapping its approval process for corporate accounts.

    Securities / Derivatives

    SEBI Revises Haircuts on G-Secs Used as Stock Trading Collateral

    22/02/2019

    Following feedback from clearing corporations, there will now be three haircut slabs depending on the type and tenure of government securities.

    Securities / Derivatives

    SFC Issues Update on ‘Front Loaded’ Approach to Listing Rules

    22/02/2019

    The SFC “will not hesitate to intervene at an early stage” when it has serious concerns about IPO applications or post-IPO corporate transactions.

    Enforcement

    Australia Passes Law Enhancing Whistleblower Protections

    22/02/2019

    The law expands the whistleblower definition, extends protections for those who report misconduct, and requires companies to have a whistleblower policy.

    Enforcement

    ASIC Finalises HSBC’s 2016 Enforceable Undertaking

    21/02/2019

    Under HSBC Australia’s remediation programme, the bank offered about A$690,000 in compensation to 104 clients who may have received inappropriate advice.

    Enforcement

    CSRC Probes Losses at GF Securities Hedge Fund

    21/02/2019

    The CSRC is seeking details about large trading losses at a hedge fund managed by GF Securities’ Hong Kong unit. Citigroup faces up to $180mn in losses on a loan to the fund.

    Enforcement

    Australia Expands Remit of New Financial Complaints Authority

    21/02/2019

    As the Royal Commission considered misconduct cases dating back to 1 January 2008, AFCA’s remit will be expanded to enable reviews of eligible complaints over the same period.

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