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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    Enforcement

    AFRC Fines BDO and Two Partners for Audit Failures

    27/12/2024

    The AFRC said BDO’s history of non-compliance suggests a “tendency of repeated failures to comply with auditing and professional standards”.

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    Fintech / Regtech

    KRX, KSD Sign MOU to Establish Information Sharing System

    27/12/2024

    The information sharing system will help both organisations automate tasks and speed up the issuance and listing of securities.

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    Securities / Derivatives

    NZX Updates Rules on Director Independence

    26/12/2024

    Issuers wlll have to explain not only that a director is independent, but also why any potential conflicts identified were not disqualifying.

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    Enforcement

    Australia Court Rules Against CFD Firms in Landmark Ruling

    26/12/2024

    The Court for the first time found that a licensee breached the law by offering services to customers outside of the country.

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    HKMA Streamlines Audio-recording Requirement for Investment Sales

    26/12/2024

    HKMA circular covers the use of video conferencing and other digital tools to conduct investment transactions of retail banking customers.

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    Securities / Derivatives

    China Issues New Asset Management Guidelines for Insurers

    26/12/2024

    The guidelines are intended to improve how insurance investments are regulated and improve their resistance to risks.

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    Capital / Liquidity

    US Fed Proposes Changes to Bank Stress Testing Framework

    26/12/2024

    Five US banking lobby groups filed a lawsuit a day later to force the Fed to increase transparency of its stress testing framework.

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    Sanctions

    US Launches Probe Into Legacy Chips Made in China

    26/12/2024

    The probe will examine the impact of Chinese-made legacy chips used in everyday household goods and the defence industry.

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    China Refines Ratings Framework for Consumer Finance Companies

    24/12/2024

    Two rating dimensions have been added to the framework and the NFRA has optimised the classification levels.

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    Enforcement

    US SEC Fines Deutsche Bank Securities for Late SAR Filings

    24/12/2024

    The SEC said the firm took months or years to conduct or complete investigations prompted by law enforcement or regulatory requests.

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