ADVERTISEMENT
Enforcement
FINRA Fines Deutsche Bank Securities for Best Execution Failures
By Editors | 10/03/2022
The firm routed customer orders to its own ATS before routing any part of the order to an exchange of the customer’s preference, FINRA said.
Philippines Passes Law to Ease Foreign Investment Restrictions
By Editors | 09/03/2022
Qualified foreigners can fully own domestic enterprises including SMEs without prior approval, as long as they hire local workers.
Enforcement
Philippine SEC Strengthens Director Disqualification Rules
By Editors | 08/03/2022
The rules set out the conditions under which the SEC can disqualify and remove a director, trustee, or officer of a company.
Philippine SEC Implements Caps on Loan Rates, Fees
By Mark Johnston | 07/03/2022
The caps were prescribed to curb predatory and abusive practices by lending and financing companies including on online platforms.
Crypto / Digital Assets
Thailand SEC Tightens Custody Rules for Digital Assets
By Mark Johnston | 05/03/2022
The SEC is also proposing requirements for digital asset businesses to disclose service quality information on their websites.
Fintech / Regtech
US SEC Probes Whether NFTs Are Being Used Like Securities
By Editors | 05/03/2022
The SEC has reportedly sent subpoenas demanding information about NFT offerings that could be raising funds like traditional securities.
AML / KYC
DOJ Launches New Task Force Targeting Russian Oligarchs
By Editors | 04/03/2022
Task Force KleptoCapture will use “the most cutting-edge investigative techniques” to identify sanctions evasion and related criminal misconduct by Russian oligarchs.
Crypto / Digital Assets
SET to Launch Digital Asset Exchange ‘Very Soon’
By Editors | 03/03/2022
The new digital asset exchange will not offer cryptocurrency trading, but instead focus on investment tokens and utility tokens.
AML / KYC
US Regulators Fine National Bank of Pakistan $55m for AML Violations
By Sanday Chongo Kabange | 01/03/2022
National Bank of Pakistan is required to pay penalties, correct deficiencies in its AML compliance, and submit quarterly progress reports on remedial actions taken.
Enforcement
CSRC Asks Morgan Stanley to Provide Information on US Probe
By Editors | 28/02/2022
The CSRC has reportedly given Morgan Stanley 30 days to provide details about its role in a US investigation into its block trading practices.
JOIN OUR NEWSLETTER
An exclusive weekly selection of top stories from the Regulation Asia editorial team.