Structural Regulation

Hong Kong Amends Listing Rules on Company Announcement Headlines

17/03/2014

Hong Kong Exchanges and Clearing Ltd said it is amending the listing rules to introduce new categories to announcement headlines by issuers from April 1.

Conduct, Culture & Accountability

Australian Securities Regulator Releases Information Sheet on Audit Quality

17/03/2014

The Australian Securities and Investments Commission has released an information sheet that will guide directors and audit committees in enhancing audit quality.

Market Abuse

HKMA Asks Benchmark-Setting Banks to Uphold Internal Controls and Governance, Censures UBS

17/03/2014

Hong Kong Monetary Authority has censured UBS for attempting to rig Hong Kong’s interbank lending rates.

Structural Regulation

Hong Kong Exchange’s Chief Li Seeks Reform

16/03/2014

Hong Kong stock exchange chief executive Charles Li said regulators should find ways to make the city attractive for initial public offerings by new economy and technology companies.

Anti-Money Laundering

Singapore to Regulate Virtual Currency Exchanges

13/03/2014

The Monetary Authority of Singapore said it will regulate virtual currency intermediaries, to combat potential risks from money-laundering or terrorism-related financing.

Trading & Investment

China Securities Regulator Set to Allow Sale of Preferred Shares

13/03/2014

The China Securities Regulatory Commission is set to allow companies to issue preferred shares within the first half.

Capital Adequacy

IOSCO Examines Prudential Standards in Securities Sector

13/03/2014

The International Organization of Securities Commissions (IOSCO) has issued a consultation paper that compares the prudential capital frameworks for securities companies in different parts of the world.

Anti-Money Laundering

India Securities Regulator Revises Anti-Money Laundering Norms

13/03/2014

The Securities and Exchange Board of India has revised its anti-money laundering/countering financing of terrorism (AML/CFT) norms, requiring intermediaries to carry out risk assessment of clients.

Structural Regulation

Japan Regulator, US CFTC to Cooperate on Regulated Entities Cross-Border Oversight

11/03/2014

The Financial Services Agency of Japan and the US Commodity Futures Trading Commission sign a memorandum of cooperation on supervision of regulated entities.