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Trading & Investment
SET Seeks to Allow Derivative Warrants to Use Foreign Stocks
By Ranamita Chakraborty | 22/07/2021
The SET will ask the Thai SEC to amend regulations to allow derivative warrants to use foreign stocks as their underlying assets.
Conduct, Culture & Accountability
ASIC Publishes Data Definitions for New Complaints Handling Regime
By Ranamita Chakraborty | 22/07/2021
New dispute resolution standards will commence on 5 October this year. ASIC has released a data dictionary and data glossary to support pilot testing.
Conduct, Culture & Accountability
Bursa Malaysia Proposes Rule Changes to Enhance Board Quality
By Editors | 22/07/2021
Bursa Malaysia proposes to limit the tenure of independent directors and require listed issues to have in place a fit and proper policy.
Payments & Settlements
CPMI, IOSCO Identify Shortcomings in FMI Business Continuity Plans
By Editors | 22/07/2021
Some FMIs do not fully meet expectations with respect to recovery from operational incidents, such as natural disasters or IT systems outage.
Structural Regulation
Australia Issues Consultation on Retirement Income Covenant
By Sanday Chongo Kabange | 21/07/2021
Superannuation trustees will be required to have in place a retirement income strategy as outlined in a new position paper from 1 July 2022.
Conduct, Culture & Accountability
Australia: Grandfathered Conflicted Remuneration Comes to an End
By Sanday Chongo Kabange | 21/07/2021
Only eight product issuers still had grandfathered conflicted remuneration arrangements in place as at 1 January 2021.
Data Privacy
China Sets Timelines for Fintechs to Complete Restructuring
By Sanday Chongo Kabange | 21/07/2021
The affected fintechs have until end-2021 to restructure their financial services businesses, and until end-2022 to clean up their credit reporting businesses.
Structural Regulation
Australia Consults on Compensation Scheme of Last Resort
By Sanday Chongo Kabange | 21/07/2021
The CSLR will establish an industry-funded compensation mechanism for individuals who have won decisions against insolvent financial firms.
Trading & Investment
China May Allow Foreign Firms to Invest Offshore Yuan via QFII
By Sanday Chongo Kabange | 20/07/2021
Currently the QFII programme only allows foreign investors to use foreign currency, converted into onshore yuan, to invest in mainland markets.
Conduct, Culture & Accountability
Australia Issues Consultation on Financial Accountability Regime
By Sanday Chongo Kabange | 20/07/2021
The FAR will not impose civil penalty liability on accountable persons, a shift from the government’s position in a January 2020 consultation.
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