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
Securities / Derivatives
HK SPAC Regime Threatened by Lack of D&O Insurance – Report
17/02/2022
Few insurers in Hong Kong provide liability insurance for directors and officers of SPACs. Those that do charge premiums up to five times higher than for traditional IPOs.
Enforcement
HK Court Orders Illicit Insider Dealing Profits to Be Returned
17/02/2022
Illicit profits made from insider dealing in the shares of GEM-listed TeleEye Holdings in 2016 will be returned to 63 investors.
AML / KYC
AUSTRAC Orders Bell Financial to Address AML Compliance Issues
17/02/2022
An external auditor has to be appointed to examine AML compliance at three entities within the Bell Financial Group.
China Empowers Auditors to Obtain Financial Information from FIs
16/02/2022
Audit firms can inquire with FIs about the accounts and deposits of entities and individuals under audit. FIs are required to provide assistance.
Enforcement
Advice Compensation Paid by Aussie Majors Tops A$3b
16/02/2022
As at end-2021, Australia’s major banks have paid or offered a total A$3.15 billion in compensation as a result of fees-for-no-service misconduct and non-compliant advice.
Market Infrastructure
Australia to Further Refine Foreign Investment Regime
16/02/2022
The government is seeking views on further refinements to the foreign investment framework to ensure it remains fit for purpose.
Fintech / Regtech
Australia Commences Review of Consumer Data Right
16/02/2022
The review will explore the extent to which implementation of the CDR drives value for consumers, increases competition, and drives innovation in data services.
Market Infrastructure
UBS, StanChart, BNP Sign On to Join VCM Initiative
16/02/2022
The initiative, now known as Carbonplace, will seek to develop infrastructure to facilitate reliable, secure, and scalable trading of high-integrity carbon credits.
Market Infrastructure
StanChart HK Becomes Direct Participant of China’s CIPS
16/02/2022
Standard Chartered Hong Kong is the first foreign bank qualified as a direct participant of China’s Cross-border Interbank Payment System in the offshore market.
Securities / Derivatives
FMSB Issues Standards on Sharing Investor Allocation Information
15/02/2022
The Standard sets out practices for syndicate banks on the sharing of investor allocation information in the fixed income primary markets.
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