Structural Regulation

SEBI Proposes Rules for Mutual Fund ‘Execution-only’ Platforms

31/07/2022

Operators of platforms offering execution-only services in direct plans offered by mutual funds would have to register with SEBI, AMFI or stock exchanges.

Market Abuse

Korean Regulators Vow to Punish Illegal Short Selling Activities

29/07/2022

Regulators may revise laws as early as this year to require short sellers trading large quantities of stocks to file reports on their activity.

Anti-Money Laundering

AUSTRAC Proposes Rule Change to Accommodate ISO 20022

29/07/2022

The proposed amendments will enable reporting entities to submit IFTIs using the ISO 20022 message format.

Operational Risk

APRA Proposes New Operational Risk Management Standard

29/07/2022

APRA proposes to introduce a new cross-industry prudential standard on operational risk management, which also covers third-party service providers.

Climate Risk

Australia Introduces Bill to Enshrine Climate Targets in Law

29/07/2022

The bill will enshrine into law a commitment to reduce emissions 43 percent by 2030, based on 2005 levels, and to reach net zero by 2050.

Trading & Investment

HKEX Finalises Revisions to Position Limits for SSO, SSF

29/07/2022

HKEX has confirmed plans to widen its position limit rules covering single stock options and futures and its flagship mini contracts.

Trading & Investment

SIX Swiss Exchange Lists First Chinese A-Shares as GDRs

28/07/2022

The listings mark the official launch of the China-Switzerland Stock Connect programme. More than ten other companies have disclosed plans to issue GDRs in Switzerland.

Emerging Prudential Risks

RBNZ to Improve Readability of Bank Assurance Reports

28/07/2022

The RBNZ will implement changes designed to rationalise the structure of the assurance reports and improve their readability.

Trading & Investment

Taiwan FSC Allows Banks to Offer ‘One-Stop’ Investment Services

28/07/2022

Under new rules, bank customers will have the option to direct their bank to dispose of foreign securities obtained through the conversion of structured products.