Countries
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272Nine Taiwan Brokers Approved to Issue ETNs – Report
Editors, Regulation Asia February 22, 2019The Taiwan Stock Exchange and GreTai Securities Market have so far approved a total of 9 securities firms to issue exchange traded notes in Q2 this year.
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338HKMA Chief of Ten Years Set to Retire in September
Editors, Regulation Asia February 22, 2019Norman Chan will leave behind a healthy banking industry with strong capital ratios and low bad debt levels. A selection panel will identify the HKMA's next chief.
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217No-Deal Brexit to Have Little Impact on S. Korea, says FSS
Editors, Regulation Asia February 22, 2019If the UK crashes out of the EU without an orderly exit deal in place, the damage to South Korea’s economy will be slight, according to the Financial Supervisory Service.
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456China Strengthens AML/CFT Regime with New Guidance
Editors, Regulation Asia February 22, 2019CBIRC has released guidance to help financial institutions improve AML/CFT controls, on the heels of recent news that PBOC is scrapping its approval process for corporate accounts.
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262SEBI Revises Haircuts on G-Secs Used as Stock Trading Collateral
Editors, Regulation Asia February 22, 2019Following feedback from clearing corporations, there will now be three haircut slabs depending on the type and tenure of government securities.
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380HKMA Turns Up the Heat, Announces Consultation on IBOR Transition
Will Hallatt, Herbert Smith Freehills and Hannah Cassidy, Herbert Smith Freehills February 22, 2019The outcome of the HKMA and TMA consultation will be a turning point for financial services firms preparing for life after LIBOR, says international law firm Herbert Smith Freehills.
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272SFC Issues Update on ‘Front Loaded’ Approach to Listing Rules
Editors, Regulation Asia February 22, 2019The SFC "will not hesitate to intervene at an early stage" when it has serious concerns about IPO applications or post-IPO corporate transactions.
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303Australia Passes Law Enhancing Whistleblower Protections
Editors, Regulation Asia February 22, 2019The law expands the whistleblower definition, extends protections for those who report misconduct, and requires companies to have a whistleblower policy.
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353ASIC Finalises HSBC’s 2016 Enforceable Undertaking
Editors, Regulation Asia February 22, 2019Under HSBC Australia's remediation programme, the bank offered about A$690,000 in compensation to 104 clients who may have received inappropriate advice.
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442CSRC Probes Losses at GF Securities Hedge Fund
Editors, Regulation Asia February 22, 2019The CSRC is seeking details about large trading losses at a hedge fund managed by GF Securities' Hong Kong unit. Citigroup faces up to $180mn in losses on a loan to the fund.
