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Fraud, Scams & Cybercrime
SEC Freezes Assets in Ponzi Scheme Targeting Investors in Japan
By Editors | 27/09/2013
The Securities and Exchange Commission today announced an emergency action to freeze the assets of a Las Vegas-based firm and […]
Emerging Prudential Risks
Deputy Governor Hu Xiaolian Speech on Improving Regulatory Coordination
By Editors | 24/09/2013
Outlined below is a speech Deputy Governor Hu Xiaolian of the People’s Bank of China gave at the Second Financial […]
Market Abuse
Thailand Based Trader Pays $5.2M SEC Settlement
By Editors | 06/09/2013
The Securities and Exchange Commission today announced that a Bangkok-based trader whose U.S. brokerage account was frozen in an SEC […]
Emerging Prudential Risks
IMF-World Bank: India – Basel Core Principles for Effective Banking Supervision
By Editors | 30/08/2013
The RBI welcomes the comprehensive review of banking regulation and supervision in India done with respect to the highest international […]
Anti-Money Laundering
China to sign Multilateral Tax Convention
By Editors | 26/08/2013
China is joining the group of more than 50 developed and developing countries, including all G20 members, which are signatories […]
Structural Regulation
Japanese FSA Signs Cooperation with National Bank of Slovakia
By Editors | 23/08/2013
On August 22, the Japanese Financial Services Agency (FSA) signed a Memorandum of Cooperation with the National Bank of Slovakia […]
Supervision & Enforcement
SFC Reprimands and Fines China Securities Holdings
By Editors | 15/08/2013
The Securities and Futures Commission (SFC) has issued a reprimand to China Securities Holdings Limited (China Securities); fined it $1.3 […]
Market Abuse
SEC Issues Risk Alert on Options Trading
By Editors | 15/08/2013
The SEC has issued a Risk Alert to help market participants detect and prevent options trading that circumvents an SEC […]
Trading & Investment
ASIC makes rules on dark liquidity, high-frequency trading
By Editors | 12/08/2013
ASIC has released its market integrity rules on dark liquidity and high-frequency trading. ASIC has also released guidance on the […]
Anti-Money Laundering
Many Hong Kong institutions not ready for FATCA
By Editors | 09/08/2013
Hong Kong’s banks should put to good use the recent decision by the U.S. Treasury to delay the implementation of the Foreign Account Tax Compliance Act (FATCA), said a local industry official.
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