Editors
Regulation Asia relies on a team of journalists, writers and editors to cover regulatory announcements across Asia Pacific. [email protected]
Articles by Editors
Market Abuse
Japan Court Orders SMBC Nikko to Pay 5 Billion Yen Penalty
15/02/2023
SMBC Nikko Securities propped up the prices of ten stocks before arranging block trades between major shareholders and investors.
Custody & Infrastructure
EU Commission Launches Regulatory Sandbox for DLT Innovators
15/02/2023
The sandbox establishes a pan-European framework for regulatory dialogue to increase legal certainty for innovative blockchain solutions.
Anti-Money Laundering
EU Adds Four Countries to List of Uncooperative Tax Jurisdictions
15/02/2023
BVI, Costa Rica, Marshall Islands and Russia were added to the list. Hong Kong and Malaysia were granted an extension to complete reforms.
Structural Regulation
SEBI Enhances Regulatory Obligations for Important Stock Brokers
14/02/2023
SEBI will designate certain stockbrokers as ‘qualified stock brokers’ and require them to meet enhanced obligations and responsibilities.
Credit Risk
Korea to Scrap Mortgage Loan Restrictions on 2 March
14/02/2023
Restrictions are relaxed for multi-homeowners, property rental and trading businesses, and ordinary homebuyers to boost real estate demand.
Cybersecurity
CSRC Releases Four New Standards for Securities Industry
14/02/2023
The standards include new penetrating testing guidelines which the CSRC says will strengthen the security of information systems in the industry.
Credit Risk
ECB Concerned with Russia Exposures, Bad Debt Risks
14/02/2023
The ECB says it would welcome more exits from Russia by eurozone banks, and that higher borrowing costs could lead to a build-up of bad loans.
Structural Regulation
Japan, EU Establish Cooperation Framework on Insurance Supervision
14/02/2023
The cooperation framework promotes mutual understanding, exchange of information and technical assistance between the FSA and EIOPA.
KYC & CDD
FCA Investigating Barclays for KYC and AML Incidents
14/02/2023
The FCA reportedly directed Barclays to undergo an independent review due to concerns about a large volume of KYC and AML incidents.
Fraud, Scams & Cybercrime
Singapore Charges Former UOB Banker for Selling Fake Products
13/02/2023
The former personal banker induced a victim into transferring funds for investment in fixed deposits and financial products that were never made.
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