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

    AML / KYC

    US Investment Ban on 59 Chinese Companies Takes Effect

    04/08/2021

    US persons that have not yet divested their holdings in 59 companies that operate in the defence or surveillance technology sectors have until 3 June 2022 to do so.

    Enforcement

    Hong Kong SFC Fines UBS Over Regulatory Breaches

    03/08/2021

    The breaches involve research report disclosures, telephone recordings, client derivatives knowledge assessments, and structured product sales.

    AML / KYC

    EBA Issues Guidance on Role of AML Compliance Officers

    03/08/2021

    Where a financial services firm is part of a group, the guidelines provide that a group AML/CFT compliance officer be appointed at the parent company level.

    Capital / Liquidity

    RBNZ to Tighten Mortgage Lending Standards From October

    02/08/2021

    The RBNZ will further restrict high-LVR lending, and also consider the use of DTI restrictions and interest rate floors.

    Market Infrastructure

    OSE, TOCOM Set to Launch J-GATE 3.0 on 21 September

    02/08/2021

    The next-generation derivatives trading system known as J-GATE3.0 will go live on 21 September 2021.

    ESG / Sustainability

    JPX Sets Organisational Targets to Achieve Carbon Neutrality

    02/08/2021

    JPX is researching the possibility of generating renewable energy through its own energy generation facilities.

    Market Infrastructure

    China, Hong Kong to Strengthen Legal, Judicial Cooperation

    02/08/2021

    China and Hong Kong will promote mutual recognition and assistance in bankruptcy procedures. Mainland judicial practice training will be arranged for Hong Kong legal professionals.

    Enforcement

    Korea: Daishin Securities Ordered to Compensate Lime Investors

    02/08/2021

    Daishin Securities is asked to compensate investors up to 80% of losses after it missold funds managed by Lime Asset Management.

    AML / KYC

    Western Australia Man Jailed for Dealing in Criminal Proceeds

    02/08/2021

    The man was sentenced to five years jail over A$6.1mn in cash discovered as a result of intelligence gained during Operation Ironside.

    Securities / Derivatives

    ISDA, ICMA, ISLA Sign MoU on Common Domain Model

    02/08/2021

    The MoU establishes a framework for closer collaboration on the development of the Common Domain Model across financial markets.

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