Editors
Regulation Asia relies on a team of journalists, writers and editors to cover regulatory announcements across Asia Pacific. editorial@regulationasia.com
Articles by Editors
Anti-Bribery & Corruption
Ex-JP Morgan Managing Director Charged with Bribery
20/05/2019
A former JP Morgan Securities managing director offered to employ the son of a potential client as a reward for “showing favour” in hiring the bank for IPO sponsor work.
Trading & Investment
BNM Announces Initiatives to Boost Market Liquidity, Accessibility
20/05/2019
The changes include enhanced repo market liquidity and flexibility, easier access to forex market, and an improved delivery mechanism for MGS futures settlements, among others.
Anti-Bribery & Corruption
UPDATED – Former CSRC Chief Under Investigation in Corruption Probe
20/05/2019
Liu Shiyu, the former head of the CSRC who was replaced in January, is now under investigation in a corruption probe.
Credit Risk
China: Regulatory Pressure Prompts Lending Rate Price War
20/05/2019
ICBC was reportedly the first bank to lower its lending rate on small business loans, offering a rate of 4.5% in Q4 2018, compared to the PBOC’s one-year benchmark lending rate of 4.35%.
Market Abuse
European Commission Fines Five Banks Involved in FX Trading Cartel
20/05/2019
Individual traders at Citigroup, Barclays, RBS, JP Morgan and MUFG exchanged sensitive information and coordinated spot FX trading strategies through online chatrooms.
Operational Risk
NBFCs Must Appoint Chief Risk Officer – RBI
20/05/2019
The CRO must function independently, with no other responsibility or ‘dual hatting’, and report directly to the MD, CEO, or risk management committee of the board.
Reporting & Disclosures
Nasdaq Launches Global ESG Reporting Guide
17/05/2019
The new guide takes into account the TCFD recommendations, the UN Sustainable Development Goals, WFE guidance and best practices, and Nasdaq’s own pilot programme.
Climate Risk
Japanese Firms Ally in Support of Climate Risk Transparency
17/05/2019
The Japanese consortium adds nearly 100 more companies, including banks, to the growing list of firms that support the TCFD recommendations on climate risk disclosures.
Structural Regulation
NSE India Fines 250 Listed Companies
17/05/2019
India’s National Stock Exchange has fined 250 firms for non-compliance with its listing obligations and disclosure requirements.
KYC & CDD
FSC Korea Fines Four Brokers for False Name Accounts
17/05/2019
South Korea’s FSC has fined four local brokerages for holding accounts belonging to Samsung Group chairman Lee Kun-hee under other people’s names.
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