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
Singapore: Ex-Fund Manager Charged for Acts Likely to Defraud Investors
27/10/2020
The former fund manager allegedly sold bonds at lower-than-market prices from one fund he managed to another fund, knowing there were higher offers for the same bonds.
Securities / Derivatives
FSS Bans Unlicensed Investment Advice on Online Chatrooms
27/10/2020
Unlicensed advisers are barred from giving one-on-one investment advice to clients, but chat rooms have been serving as platforms for illegal consulting.
AML / KYC
China Issues AML/CTF Guidelines for Microfinance Institutions
27/10/2020
The guidelines take immediate effect and are require microfinance institutions to report any transaction worth more than CNY 50,000 within 5 working days.
ASIC Deputy Chair Crennan Resigns Amid Expense Probe
27/10/2020
The probe relates to almost A$200,000 in payments that were made on behalf of Chairman James Shipton and to Deputy Chair Daniel Crennan that may have exceeded official limits.
Securities / Derivatives
Taiwan Stock Exchange Launches Intraday Odd-lot Trading
26/10/2020
The introduction of odd-lot trading during regular hours is aimed at making high-value stocks more affordable for individual investors and at helping to boost turnover.
Market Infrastructure
China to Issue Additional Quotas for Outbound Investment via QDII
26/10/2020
The move, estimated to release quotas by $2-3bn per quarter, is being called one of the biggest relaxations in capital controls in recent years.
AML / KYC
US Agencies Target Cross-border Transfers in Proposed Rule Change
26/10/2020
Financial institutions will have to collect, retain, and transmit information related to any international transaction over $250, including those involving crypto assets.
AML / KYC
Australian Police Arrest NAB Employee on Fraud Charges
25/10/2020
The former employee faces charges for conspiring to cheat and defraud and attempting to launder A$21.6mn in illicit proceeds through NAB.
AML / KYC
FATF Adopts Measures to Mitigate Proliferation Financing Risk
25/10/2020
The changes are aimed at ensuring FIs and DNFBPs do not unwittingly support or become part of proliferation financing networks or schemes.
Market Infrastructure
ISDA Launches IBOR Fallbacks Supplement, Protocol
25/10/2020
The implementation of fallbacks for derivatives will help to mitigate the systemic risk that could occur following the disappearance of LIBOR.
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