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Market Data & Technology
FSB Confirms Governance Body for OTC Derivatives Identifiers
By Editors | 27/09/2020
The Regulatory Oversight Committee of the Global LEI System will be the International Governance Body for the UTI, UPI and CDE as of 1 October.
Clearing & Post-Trade
Taiwan FSC Outlines Plans for Capital Market Development
By Sanday Chongo Kabange | 26/09/2020
A 3-year roadmap to be unveiled by year-end includes plans to set up central clearing for OTC derivatives, and improve convenience and efficiency for foreign investors.
Conduct, Culture & Accountability
SEBI Quadruples Penalties Against CRAs Over IL&FS Failures
By Editors | 26/09/2020
In December, SEBI issued INR 2.5 million penalty orders against ICRA, India Ratings & Research and Care Ratings. This has been raised to INR 10 million.
Trading & Investment
BSP Approves Sale of Unit Investment Trust Funds via Third Parties
By Editors | 26/09/2020
New rule amendments allow trust corporations to offer their investment products through third-party distributors, including individual and institutional agents.
Trading & Investment
CSRC Approves Four ETFs Tracking New SSE STAR 50 Index
By Editors | 26/09/2020
China Asset Management, E Fund Management, Huatai-PineBridge Fund Management and ICBC Credit Suisse Asset Management received approval.
Structural Regulation
Philippine Bourse Proposes to Ease Listing Rules
By Sanday Chongo Kabange | 26/09/2020
The minimum cap requirement for the Main Board is being removed in favour of a net income requirement. The criteria for the SME Board are also being relaxed.
Clearing & Post-Trade
ASX Responds on Tranche 2 Rule Changes for CHESS Replacement
By Editors | 26/09/2020
The consultation on the 2nd tranche of rule changes covered operating rules relating to corporate actions, mFund and RTGS payment aspects for the new system.
Conduct, Culture & Accountability
New Zealand FMA Warns of Action Against Poor Conduct
By Editors | 25/09/2020
There are no excuses for conduct that presents the risk of harm to investors, customers and the integrity of the markets, says FMA chief Rob Everett.
Conduct, Culture & Accountability
Sumitomo Mitsui Under Fire for Miscounting Shareholder Votes
By Editors | 25/09/2020
Sumitomo Mitsui confirmed that 1,139 shareholder voting forms were not counted even though they were delivered in time.
Clearing & Post-Trade
European Commission Grants 18 Months Equivalence to UK CCPs
By Editors | 25/09/2020
The European Commission says the decision will give financial market participants time to reduce their “excessive” exposures to UK-based CCPs.
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