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

    SEBI Quadruples Penalties Against CRAs Over IL&FS Failures

    26/09/2020

    In December, SEBI issued INR 2.5 million penalty orders against ICRA, India Ratings & Research and Care Ratings. This has been raised to INR 10 million.

    Thailand: BOT to Revamp Banks’ Reporting Requirements

    26/09/2020

    The reforms will reduce data processing steps for financial institutions and the costs associated with reporting, while increasing reporting efficiency.

    Securities / Derivatives

    BSP Approves Sale of Unit Investment Trust Funds via Third Parties

    26/09/2020

    New rule amendments allow trust corporations to offer their investment products through third-party distributors, including individual and institutional agents.

    Securities / Derivatives

    CSRC Approves Four ETFs Tracking New SSE STAR 50 Index

    26/09/2020

    China Asset Management, E Fund Management, Huatai-PineBridge Fund Management and ICBC Credit Suisse Asset Management received approval.

    Market Infrastructure

    ASX Responds on Tranche 2 Rule Changes for CHESS Replacement

    26/09/2020

    The consultation on the 2nd tranche of rule changes covered operating rules relating to corporate actions, mFund and RTGS payment aspects for the new system.

    Enforcement

    New Zealand FMA Warns of Action Against Poor Conduct

    25/09/2020

    There are no excuses for conduct that presents the risk of harm to investors, customers and the integrity of the markets, says FMA chief Rob Everett.

    Securities / Derivatives

    Sumitomo Mitsui Under Fire for Miscounting Shareholder Votes

    25/09/2020

    Sumitomo Mitsui confirmed that 1,139 shareholder voting forms were not counted even though they were delivered in time.

    Market Infrastructure

    European Commission Grants 18 Months Equivalence to UK CCPs

    25/09/2020

    The European Commission says the decision will give financial market participants time to reduce their “excessive” exposures to UK-based CCPs.

    AML / KYC

    HKMA Issues Guidance on Remote Onboarding of Corporate Clients

    25/09/2020

    Onboarding processes should be designed reflecting the principle that CDD is not merely a document collection exercise, the HKMA says.

    Market Infrastructure

    FCA Consults on Regulatory Approach for International Firms

    24/09/2020

    The FCA is seeking views on its approach to authorising international firms that wish to provide financial services in the UK post-Brexit.

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