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Conduct, Culture & Accountability
New Zealand: Class Action Filed Against ANZ, ASB
By Editors | 04/10/2021
The class action reportedly involves interest and fees ANZ and ASB were not entitled to charge due to breaches of their disclosure obligations.
Conduct, Culture & Accountability
US SEC Moves to Boost Transparency on Proxy Votes
By ESG Investor | 03/10/2021
The proposed rule changes will make it easier for asset owners to see how asset managers are voting at AGMs.
Structural Regulation
Taiwan FSC Not Considering Introducing SPAC Listings
By Editors | 03/10/2021
The practice of allowing companies to go public without any actual business or revenue is in conflict with practices in Taiwan, said the FSC’s Kuo Chia-chun.
Conduct, Culture & Accountability
Customers Not Informed in Premium Financing Arrangements
By Editors | 03/10/2021
The HKMA and IA found in joint inspections that customers may not be sufficiently informed about the potential impact of premium financing arrangements.
Trading & Investment
CBSL Warns Banks Against Creating FX Black Market
By Duruthu E Chandrasekera | 03/10/2021
Sri Lankan banks are charging heavy premiums to execute FX transactions, claiming to not have US dollars available.
Trading & Investment
SGX Adds RFQ Functionality for FX Derivatives on OTC Platform
By Editors | 03/10/2021
The RFQ function allows market participants to negotiate and transact block trades in FX futures and options on the Titan OTC Pro platform.
Conduct, Culture & Accountability
FMSB Offers Guidance on Mitigating Risks of Hybrid Working
By Editors | 02/10/2021
In a new Spotlight Review, the FMSB outlines steps firms can take to promote equivalent conduct outcomes in a hybrid environment.
Payments & Settlements
Hong Kong Capital Market to Increase Use of RMB
By Manesh Samtani | 02/10/2021
HKMA chief Eddie Yue speaks of expanding the use of the RMB in Hong Kong stock market trading and a multi-year programme to enhance the CMU.
Capital Adequacy
SEBI to Raise Net Worth Requirements for Market Intermediaries
By Editors | 02/10/2021
SEBI proposes to progressively raise the net worth requirements for trading members, clearing members and depository participants by October 2023.
Trading & Investment
CFTC Penalises Interactive Brokers Over Negative Oil Prices
By Editors | 02/10/2021
Interactive Brokers was penalised for not adequately preparing for and configuring its electronic trading system to recognise negative prices on 20 April 2020.
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