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
Enforcement
Taiwan FSC Fines KGI Securities Over Poor Internal Controls
31/12/2020
The case relates to the August suicide of a former KGI Securities employee, who suffered large investment losses as a result of illegal futures trades for his clients.
Securities / Derivatives
Tokyo Bourse Reorganisation to Take Effect in April 2022
31/12/2020
Companies will be able to choose which section they want to be listed on between September and December 2021, and JPX will announce the results in January 2022.
AML / KYC
Federal Reserve Orders Credit Suisse to Enhance AML Controls
31/12/2020
Credit Suisse is required to improve its risk assessment, customer due diligence, suspicious activity monitoring and reporting processes.
Enforcement
IOSCO Issues Guidance on Addressing Misconduct During Stress Events
31/12/2020
Extreme price volatility, profitability pressures, psychological stressors, remote working and aggressive advertising were some of the drivers of misconduct risk during the pandemic.
Securities / Derivatives
HKFE Announces Launch Date for Hang Seng TECH Index Options
31/12/2020
The Hang Seng TECH Index Futures, introduced in November, have now been certified by the CFTC to be offered and sold to persons in the US.
Fintech / Regtech
US Regulators Call for Responsible Stablecoin Design, Operation
31/12/2020
Stablecoin participants and arrangements should register with FinCEN and comply with AML, sanctions, recordkeeping and reporting requirements.
Japan FSA Establishes Expert Panel on Sustainable Finance
31/12/2020
The panel will discuss initiatives to help channel investment into Japanese companies that support efforts to achieve carbon neutrality by 2050.
Securities / Derivatives
IOSCO Seeks Views from Market Participants on ETF Market
30/12/2020
IOSCO asks asset managers, liquidity providers and market-makers to help it obtain a more granular understanding of ETFs.
Market Infrastructure
HKEX to Introduce New Market Access Platform in Q3 2021
30/12/2020
Phase 1 will involve the technical migration from the Orion Central Gateway to the new Cash Market Gateway in Q3 2021.
Korea to Lower Max Interest Rate on Loans in H1 2021
30/12/2020
A new enforcement decree will take effect in February 2021, lowering the maximum interest rate on loans from 24% to 20%.
JOIN OUR NEWSLETTER
A daily selection of top stories from the Regulation Asia editorial team