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
FATF Concerned About Impact of Ukraine Invasion on Risk Environment
06/03/2022
Russia’s actions run counter to the FATF core principles. The FATF is reviewing Russia’s role at the FATF and will consider steps to uphold its core values.
Capital / Liquidity
APRA Commences Post Implementation Review of LCR, NSFR
06/03/2022
The review will inform potential adjustments to the LCR and NSFR and a broader review of APRA’s liquidity requirements.
ESG / Sustainability
APLMA, LMA, LSTA Publish New ESG Guidance Documents
06/03/2022
The guidance documents are intended to support the development of green, social, and sustainability-linked loans.
Enforcement
NZ FMA Censures Derivatives Issuer Over Suitability Checks
05/03/2022
CTRL Investments allowed investors who could not demonstrate the necessary skills and knowledge to trade derivatives.
Fintech / Regtech
US SEC Probes Whether NFTs Are Being Used Like Securities
05/03/2022
The SEC has reportedly sent subpoenas demanding information about NFT offerings that could be raising funds like traditional securities.
Capital / Liquidity
Bank Indonesia Offers Incentives for Inclusive Financing Activities
04/03/2022
Banks that expand priority sector credit and inclusive financing beyond certain thresholds can reduce their statutory reserve requirements.
AML / KYC
UK, UAE Launch New Toolkit Targeting Illegal Wildlife Trade
04/03/2022
Financial institutions worldwide are urged to adopt the toolkit; share it with colleagues, peers and industry partners; and take action to stamp out IWT.
AML / KYC
DOJ Launches New Task Force Targeting Russian Oligarchs
04/03/2022
Task Force KleptoCapture will use “the most cutting-edge investigative techniques” to identify sanctions evasion and related criminal misconduct by Russian oligarchs.
AML / KYC
Credit Suisse Attempts to Conceal Records on Russian Clients – Report
04/03/2022
Credit Suisse reportedly asked investors to destroy documents relating to a loan securitisation backed by “jets, yachts, real estate and/or financial assets”.
Enforcement
Korean Broker and Bank Penalised Over Optimus Mis-selling
04/03/2022
NH Investment & Securities cannot sell new private equity funds for three months. Hana Bank cannot be appointed as a fund trustee for three months.
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