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

    Enforcement

    ASIC Files Multiple Court Proceedings Against Westpac

    30/11/2021

    Westpac has already agreed to admit to the allegations, remediate A$80mn to customers, and pay A$113mn in penalties, subject to court approval.

    Enforcement

    APRA Imposes Capital Surcharge on Heritage Bank

    29/11/2021

    Heritage Bank will also have to complete a remediation programme to address governance and risk management concerns.

    MAS, IBF Offer Support to Enhance Family Office Skillsets

    29/11/2021

    New skills maps have been launched as a resource for training providers and FIs to design family office-related training.

    Market Infrastructure

    CPMI, IOSCO Consider Client Clearing Access Models

    29/11/2021

    Improving access to client clearing is “critical” to ensuring all standardised OTC derivatives contracts are cleared through CCPs.

    Market Infrastructure

    European Commission Proposes to Strengthen Supervisory Bodies

    29/11/2021

    In the aftermath of the Wirecard scandal, German regulator BaFin was accused of being beholden to banking industry lobbyists and the finance ministry.

    Securities / Derivatives

    SGX Goes Live with NZX Dairy Derivatives Contracts

    29/11/2021

    The partnership with SGX will bring “unprecedented access” to the dairy derivatives markets, says NZX chief Mark Peterson.

    Enforcement

    Hong Kong SFC Investigates Ramp-and-Dump Scam

    29/11/2021

    Restriction notices have been sent to two brokerage firms prohibiting them from dealing in assets worth HK$312mn held across 17 trading accounts.

    Securities / Derivatives

    Australia Introduces Bill to Enable CCIV Fund Structure

    29/11/2021

    The CCIV has the potential to unlock significant opportunities for the Australian funds management industry, says Financial Services Council CEO Sally Loane.

    Enforcement

    Japan FSA Orders Mizuho to Undergo Structural Reforms

    29/11/2021

    Mizuho is directed to formulate plans to improve its governance and prevent more system failures from occurring. Three top executives will resign.

    Market Infrastructure

    Indonesia Forms National Working Group on Benchmark Reform

    29/11/2021

    The working group will provide information and education to market players and recommendations on alternative benchmark rates.

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