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Enforcement
EU Commission Accuses Two Banks of Cartel Conduct
By Editors | 12/12/2022
Deutsche Bank and Rabobank traders allegedly exchanged commercially sensitive information and coordinated pricing and trading strategies on government bonds.
Capital / Liquidity
UK Proposes Extensive Overhaul of Financial Services Regulations
By Manesh Samtani | 12/12/2022
The reforms include overhauls of the ring-fencing and senior managers regimes, a new green finance strategy, and an investment management exemption for cryptoassets.
Enforcement
FCA Fines Interdealer Brokers Over Inadequate Trade Surveillance
By Editors | 12/12/2022
Between July 2016 and January 2018, BGC Brokers, GFI Brokers and GFI Securities had deficient surveillance processes and insufficient asset class coverage.
Securities / Derivatives
RBI Allows Resident Entities to Hedge Gold Exposures from GIFT City
By Editors | 12/12/2022
To date, resistant entities in India have not been permitted to hedge their gold price exposures in overseas markets.
Market Infrastructure
Japan FSA Finalises New Derivatives Reporting Guidelines
By Editors | 12/12/2022
The guidelines and associated reporting requirements will take effect on 1 April 2024, incorporating the UTI and CDE.
ESG / Sustainability
Bursa Malaysia Launches Shariah Compliant Carbon Exchange
By Editors | 11/12/2022
The first trades will be conducted via an auction in March 2023. Project developers, project proponents, and corporate buyers are invited to participate.
Enforcement
SEBI Warns Against Misuse of Whistleblower Policy
By Editors | 11/12/2022
A SEBI official said many whistleblower complaints are frivolous, mischievous or aimed at settling personal scores.
Securities / Derivatives
Industry Ranks Singapore Top APAC Market to Operate In
By Editors | 11/12/2022
In an ASIFMA survey, capital market participants ranked Singapore as the top market for its political environment and predictable and transparent regulatory policy.
ESG / Sustainability
ESMA Labelling Rules to Complicate Green Fund Market
By ESG Investor | 11/12/2022
Plans to introduce minimum investment thresholds risk creating two types of Article 8 products, says Julia Vergauwen at Linklaters.
Securities / Derivatives
SC Malaysia Raises Bar on Investment Research, Advice
By Editors | 11/12/2022
The SC released new guidelines for investment analysts and a technical note for those seeking to provide digital investment advice.
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