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Conduct, Culture & Accountability
ASIC Issues Update on Compensation Paid for Non-compliant Advice
By Editors | 05/08/2021
Australia’s 6 largest FIs have paid over A$1.86 billion to compensate customers for fees-for-no-service misconduct and non-compliant advice.
Payments & Settlements
RBI Issues Outsourcing Framework for Payment System Operators
By Sanday Chongo Kabange | 05/08/2021
Payment system operators may not outsource core management functions such as risk management, internal audit and KYC compliance.
Payments & Settlements
SEBI Asks RTAs to Build Common Platform for Fund Investors
By Editors | 05/08/2021
SEBI has asked India’s two RTAs, KFinTech and CAMS, to develop a new dedicated platform for investors to transact in mutual funds.
Trading & Investment
Structured Products Landscape in a Post-pandemic APAC
By Abdessamad Khaled | 05/08/2021
Bloomberg’s Abdessamad Khaled and Gaurav Kapoor discuss how structured products have performed and the role automation plays in maintaining stability.
Structural Regulation
Deutsche Bank Set to Regain Ability to Sponsor HK IPOs
By Ranamita Chakraborty | 05/08/2021
Deutsche Bank has reportedly secured two senior hires who will be able to act as IPO principals, subject to regulatory approval.
Structural Regulation
Australia Launches Inquiry into Stock Ownership by Large Funds
By Editors | 04/08/2021
The government is said to be concerned about the growing influence of super funds as large shareholders of ASX listed companies.
Structural Regulation
CSRC Promises Increased Predictability of Policy Measures
By Sanday Chongo Kabange | 04/08/2021
The CSRC says it will seek closer cooperation with the US SEC and enhance the transparency and predictability of policy measures.
Payments & Settlements
India Launches New Digital Payment Solution Nationwide
By Manesh Samtani | 04/08/2021
e-RUPI is a QR code or SMS string-based prepaid e-voucher that can be used for purchases without an app, card, bank account, or internet access.
Clearing & Post-Trade
CSRC Grants QFI Custodian Licence to BNP Paribas
By Editors | 04/08/2021
The licence will allow BNP Paribas to work with foreign institutional investors to facilitate their access to China’s equities and bond markets.
Conduct, Culture & Accountability
Malaysian Regulators Ask Auditors to Up Their Game
By Ranamita Chakraborty | 04/08/2021
Audit engagements which required further evaluation and investigation in 2020 were found to have weak auditing procedures and lacked professional scepticism.
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