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
AML / KYC
HKMA Fines EFG Bank Over AML Control Deficiencies
15/08/2023
The bank failed to complete identity verification for customers that were transferred in from another FI and had other issues related to CDD and ongoing monitoring.
Fintech / Regtech
Taiwan FSC to Establish New Rules for Robo-Advisor Services
15/08/2023
Robo wealth management services are currently being offered by 16 financial institutions. Legislation will be ready in H1 2024.
ESG / Sustainability
RBNZ Publishes ‘Too Little, Too Late’ Climate Stress Test Scenario
15/08/2023
The climate stress test scenario is titled ‘Too Little, Too Late’ because of the lengthy delay in enacting meaningful global climate policies.
Market Infrastructure
Shanghai, Shenzhen Bourses Pledge Measures to Stimulate Markets
15/08/2023
The measures are designed to stimulate market vitality, enhance transaction convenience and smoothness, and continuously improve market attractiveness.
Crypto / Digital Assets
US Prosecutors File Amended Indictment Against Sam Bankman-Fried
15/08/2023
The new indictment drops a campaign finance charge but includes an illegal campaign finance scheme as part of original fraud and money laundering charges.
Market Infrastructure
DTCC Kicks Off T+1 Settlement Testing Programme
15/08/2023
The testing programme was designed to support full end-to-end testing of the various processes impacted by the T+1 functional changes.
Enforcement
UBS Settles RMBS-related Misconduct Lawsuit for Over $1.4b
15/08/2023
The settlement brings the total amount of civil penalties paid by firms for failed RMBS leading up to the 2008 financial crisis to over USD 36 billion.
Securities / Derivatives
SEBI Reduces Investor Exit Window for AMC Change in Control
14/08/2023
The exit option window period is reduced from 30 to 15 calendar days after a change in control of the AMC is announced.
Securities / Derivatives
New Rules Could Force a Third of China’s Hedge Funds to Close
14/08/2023
Almost 35,000 hedge fund products in China will fall under the new CNY 10 million minimum asset requirement set to take effect in September.
Crypto / Digital Assets
MUFG, NTT Data Announce Partnership on Digital Corporate Bonds
14/08/2023
NTT Data will connect its corporate bond issuance infrastructure directly to MUFG’s Progmat platform for issuing security tokens.
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