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

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    Securities / Derivatives

    DTCC Publishes Testing Framework for US Move to T+1 Settlement

    30/01/2023

    The testing framework assumes a September 2024 implementation date. Testing dates may have to change as regulators have not yet confirmed an implementation date.

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    Market Infrastructure

    India Completes Transition to T+1 Settlement Cycle

    30/01/2023

    The final phase of India’s T+1 transition roadmap covered the country’s largest listed securities, which transitioned to the new settlement cycle on Friday.

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    Sanctions

    West Imposes More Iran Sanctions in Response to Protest Handling

    29/01/2023

    Iran responded with sanctions against EU and UK individuals and entities. IAEA director general Rafael Grossi plans to visit Iran in February for “much needed” political dialogue.

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    AML / KYC

    FinCEN Warns of Sanctions Evasion in Commercial Real Estate

    29/01/2023

    New FinCEN alert lists potential red flags and typologies involving attempted sanctions evasion in the CRE sector by sanctioned Russians and their proxies.

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    Securities / Derivatives

    Korea FSC Unveils New Risk Rating System for Investment Products

    29/01/2023

    Due for implementation in Q4, the new system will apply an industry-wide common standard to investment product risk ratings to improve reliability and comparability for investors.

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    Crypto / Digital Assets

    FBI Confirms DPRK Hackers Behind $100m Horizon Bridge Crypto Theft

    29/01/2023

    The FBI was able to freeze a portion of the stolen funds, in coordination with some virtual asset service providers.

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    Laos Closes All Non-State Currency Exchange Channels

    29/01/2023

    Currency exchange transactions in Laos can now only be done through state-run banks. The move has resulted in nationwide business disruptions.

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    Enforcement

    Korea FSC Issues Guidelines on Employee Personal Trading

    29/01/2023

    Financial firms should strengthen their internal controls and pre-trade checks to ensure executives and employees are not using “borrowed” accounts for personal trading.

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    Securities / Derivatives

    US SEC to Prohibit Conflicts of Interest in Securitisation Transactions

    27/01/2023

    The rule, first proposed in 2011 but never finalised, will prohibit firms participating in asset-backed securities from betting against investors in those securities.

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    AML / KYC

    German Prosecutors Search BNP Paribas Offices in Cum-Ex Probe

    27/01/2023

    The investigation also involves searches of private residences, focusing on 58 suspects who were or are professionally active for the bank.

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