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

    SFC Fines Yardley Securities CEO for AML/CFT Breaches

    05/07/2021

    The processing and approval of suspicious third party fund transfers were attributable to the CEO’s failures to discharge his duties, the SFC said.

    AML / KYC

    Japan to Form Cross-agency AML Team Following FATF Review

    05/07/2021

    A new team being formed under the Cabinet Secretariat may help overcome the current fragmented bureaucracy and enhance cross-agency coordination.

    Enforcement

    Westpac to Pay Remediation Over Corporate Actions Failures

    04/07/2021

    ASIC says it encourages all advice licensees and platform operators to consider their own corporate action management arrangements.

    Capital / Liquidity

    SEBI Allows Cross Margin Benefits in Commodity Futures Trades

    03/07/2021

    The move is part of efforts to improve efficiency in the use of the margin capital and enhance market liquidity.

    Market Infrastructure

    RBI Issues New Guidelines on Outsourcing for Coop Banks

    03/07/2021

    Cooperative banks should not outsource policy formulation, internal audit, KYC compliance, credit approval and portfolio management.

    Securities / Derivatives

    BOJ Seeks to Stimulate Bond Market Trading Activity

    03/07/2021

    The BOJ has cut its bond purchase targets, reflecting a desire to make the market more active after its own policy led to stagnant trading.

    AML / KYC

    Indonesia, Brunei to Cooperate on AML/CTF in Payments

    03/07/2021

    The MoU aims to strengthen policy cooperation on AML/CTF in payments. Indonesia is seeking to become a member of the FATF.

    Market Infrastructure

    MAS: Remaining Amendments for BAA 2020 Take Effect

    03/07/2021

    Remaining amendments to Regulations, Notices and Guidelines needed for the Banking (Amendment) Act 2020 (BAA) commenced on 1 July 2021.

    Securities / Derivatives

    SEBI Clarifies Application of Liquidity Risk Rules for Debt Funds

    02/07/2021

    Liquid assets requirements imposed in November mean that asset allocation limits only apply to the non-liquid portion of portfolios.

    AML / KYC

    FSC Korea Concerned of Embezzlement by Crypto Exchanges

    02/07/2021

    As the 24 September deadline for VASPs to register their businesses approaches, some businesses may close down, presenting risks to customer deposits.

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