Jurisdictions

SEBI proposes new thresholds to quantify what constitutes a material event requiring disclosure, among other enhancements.

The SFC proposes to expand the list of specified contracts and introduce an excess position limit regime for clearing participants.

The DRR is now available to market participants in full production mode to support compliance with the CFTC's amended swap data reporting rules.

The UK FCA  has announced the formation of a group to develop a new code of conduct for ESG data and ratings providers.

Regulation Asia held its fifth annual Awards ceremony on 22 November 2022. Here we explain our methodology and announce the winners for the year.

The draft rules strengthen obligations for bond intermediaries to improve their due diligence practices and serve as gatekeepers.

The former collections officer used DBS' Customer Information System to find out information about friends, relatives, and others he was curious about.

Manulife is the first foreign firm to receive approval to convert an existing joint venture into a wholly-owned fund management company.

Bank of America will have to meet a higher capital buffer requirement, while China Construction Bank and BNP Paribas will have to meet a lower buffer requirement.

The two dealer's representatives engaged in intra day short-selling activities in client accounts in 2020 when such activity was temporarily prohibited.