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
PEPs & Sanctions
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.
Trading & Investment
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.
Fraud, Scams & Cybercrime
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.
Structural Regulation
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.
Conduct, Culture & Accountability
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.
Market Abuse
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.
Fraud, Scams & Cybercrime
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.
PEPs & Sanctions
Ex-FBI Agent Charged for Money Laundering, Sanctions Violations
27/01/2023
The former FBI agent conspired with a former Russian diplomat to help Oleg Deripaska have his sanctions removed.
Supervision & Enforcement
RBNZ Concludes Work to Enhance Enforcement Framework
27/01/2023
The framework consists of three documents setting set how the RBNZ selects matters for investigation, conducts investigations, and takes enforcement decisions.
Conduct, Culture & Accountability
Morgan Stanley Fines Staff Over Use of Messaging Platforms
27/01/2023
The penalties ranged from several thousand dollars for some staff to more than USD 1 million for others, cut from past bonuses or future pay.
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