Editors
Regulation Asia relies on a team of journalists, writers and editors to cover regulatory announcements across Asia Pacific. editorial@regulationasia.com
Articles by Editors
Structural Regulation
SFC Fines Ninety One HK Unit for Unlicensed Futures Dealing
12/04/2023
Ninety One did not have a Type 2 (dealing in futures contracts) licence, believing it could rely on SFO exemptions to deal in futures contracts.
Trading & Investment
SEBI Issues Framework to Improve IPO Price Band Discovery
12/04/2023
Stock exchanges will have to compute a common equilibrium price for IPO listings if their call auctions result in equilibrium prices that are too far apart.
Reporting & Disclosures
GFIN Set to Open Applications for ‘Greenwashing TechSprint’
12/04/2023
The TechSprint, hosted on the FCA’s digital sandbox, will seek to develop a tool or solution to help tackle greenwashing risks in financial services.
Sustainable Finance
RBI Issues ‘Green Deposits’ Framework for Banks, NBFCs
12/04/2023
The allocation of funds raised through green deposits shall be subject to independent third-party verification and assurance each year, the RBI says.
Trading & Investment
CFTC Fines Goldman Sachs for Swaps Conduct Failures
12/04/2023
The CFTC said Goldman touted supposed benefits of same-day swap transactions to clients, but not the corresponding costs.
Cloud & Infrastructure
RBI Finalises Rules for Outsourcing of IT Services by Banks
12/04/2023
RBI approval is not required for IT outsourcing arrangements, but they should be subject to on-site or off-site monitoring and inspection by regulators.
Emerging Prudential Risks
BOJ Gets First New Governor After Ten Years
12/04/2023
Kazuo Ueda plans to maintain ultra-loose monetary policy but signalled an openness to tweaking the BOJ’s yield control policy.
Fraud, Scams & Cybercrime
Hong Kong Announces New Measures to Combat Phone Scams
12/04/2023
Implementation of an “SMS sender name” registration system will begin in the banking industry by the end of this year.
Market Abuse
Korean Authorities Investigate Kakao for Market Manipulation
11/04/2023
The FSS is investigating whether Kakao manipulated the stock price of K-pop agency SM Entertainment.
Structural Regulation
FSC Korea Tightens Regulations on Bank Closures
11/04/2023
The changes are intended to better protect consumers from sudden decisions by lenders to wind down operations, as seen in the case of Citibank Korea in late 2021.
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