Countries
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ASIC – No Plans for Research Unbundling
Editors, Regulation Asia July 6, 2017Regulator issues consultation on conflicts of interest, non-public information in sell-side research.
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Korea Increases Efforts to Cut Back Consumer Debt
Editors, Regulation Asia July 6, 2017Second-tier lenders required to increase loan-loss provisions by 50%; maximum mortgage LTV/debt-income ratios cut to 60%/50%.
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HK SFC, CSRC to Boost Stock Connect Supervision
Editors, Regulation Asia July 3, 2017Regulators conducted 60 joint investigations in 1H16, taking total to 365 since Shanghai-HK link established in 2014.
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IOSCO – Sri Lanka Regulator Urgently Needs Independence
Editors, Regulation Asia July 3, 2017Report also finds outdated legislative, regulatory framework; says several sectors ‘largely unregulated’.
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Fintech Innovation vs. Regulation
Peter Guy, Regulation Asia July 3, 2017Hong Kong needs to beware as Australia and Singapore regulators issue game-changing initiatives.
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1.0KGRC – The Path to Managing Regulatory Change Intelligently
Derek McGibney, ACA Compliance Group June 29, 2017Why small and medium-sized firms don’t need an ‘oversized’ compliance effort.
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Southeast Asia Roundup
Editors, Regulation Asia June 29, 2017 -
Australia Eyes Stronger Powers for ASIC
Editors, Regulation Asia June 29, 2017The Australian Treasury issued a trio of proposals to enhance the enforcement powers of ASIC.
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1.4KFintech in APAC – The Virtuous Circle
Samuel Riding, Regulation Asia June 28, 2017How regulatory and financial institutions are bringing the fintech ecosystem together.
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Enforcement – ‘Market Manipulation’ in Australia and China
Editors, Regulation Asia June 28, 2017ASIC says Macquarie Securities failed to escalate suspicions; China-based HFT to pay $101mn.
