Market Infrastructure

UPDATED – SEBI Directs MIIs to Establish Common Dispute Resolution Platform

01/08/2023

Disputes between investors or clients and listed companies or any specified intermediaries or regulated entities in the securities market will be resolved through the proposed new platform.

Capital / Liquidity

APRA is Reviewing its Data Collections Roadmap

01/08/2023

Some data collections are being prioritised to support APRA’s policy priorities for banking and to address data gaps.

AML / KYC

SEBI Considers Tweaks to Derivatives Market Onboarding Process

31/07/2023

SEBI dismissed media reports that suggested the regulator was seeking to impose curbs on retail participation in derivative markets.

Capital / Liquidity

US Agencies Update Guidance on Liquidity Risk, Contingency Planning

31/07/2023

The guidance requires depository institutions to regularly evaluate and update their contingency funding plans, more frequently in changing market conditions.

Market Infrastructure

ASX Pledges to Implement Further Governance Improvements

31/07/2023

ASX has pledged to, within three months, implement 16 recommendations made by Herbert Smith Freehills in its review of the group’s governance structure.

Fintech / Regtech

FSS Korea Enhances Disclosure System to Provide Translation Feature

31/07/2023

Korean regulators are trying to increase English disclosures in the local market as part of efforts to attract more foreign investors.

Securities / Derivatives

Korea Outlines Reforms to Drive Listings by High-tech Firms

28/07/2023

The new measures are aimed at making it easier for more high-tech companies to list on domestic capital markets.

Fintech / Regtech

HKMA to Collaborate With Saudi Central Bank on Market Connectivity

28/07/2023

The two central banks will also collaborate on financial infrastructure development, sustainable development and fintech.

Enforcement

Taiwan Telecoms Fined for Failing to Prevent Exploitation by Scammers

28/07/2023

Taiwan Star and Strait-Telecom were fined for failing to check and verify the identities of service applicants, a breach of the Telecommunications Management Act.