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Conduct, Culture & Accountability
CBIRC Issues Action Plan to Enhance Governance at Banks, Insurers
By Editors | 06/09/2020
The action plan outlines a series of targeted measures and an implementation timetable to improve corporate governance at banks and insurers.
Structural Regulation
CSRC Issues New Norms for Public Sale of Investment Funds
By Editors | 05/09/2020
The revisions will further improve the conduct for fund sales and strengthen internal controls at fund sales institutions, the CSRC says.
Trading & Investment
MAS Best Execution Requirements to Take Effect in March 2022
By Manesh Samtani | 04/09/2020
Following from a November 2017 consultation paper, MAS has set an 18-month transitional period for Singapore financial firms to comply with best execution requirements.
Structural Regulation
Australia Passes Law to Allow Employees to Choose Super Fund
By Sanday Chongo Kabange | 04/09/2020
The bill will allow Australians to choose their own superannuation fund instead of being forced to invest in mandatory superannuation funds offered by their employers.
Structural Regulation
Letter from SGX RegCo Chairman and CEO for FY2020
By Prof Tan Cheng Han | 04/09/2020
SGX RegCo’s chairman and CEO share lessons from the Covid-19 on building immunity, taking a proportionate response and increasing resilience.
Structural Regulation
New Zealand Extends Overseas Investment Notification Requirement
By Editors | 04/09/2020
The notification regime allows the government to impose conditions on or block transactions that are contrary to New Zealand’s national interest.
Cloud & Infrastructure
Australia Senate Committee on Fintech, Regtech Publishes Interim Report
By Editors | 04/09/2020
The committee has categorised the material presented under: Covid-19 issues, tax, regulation, access to capital, skills and talent, and culture.
Trading & Investment
China Issues Draft Rules Easing Foreign Access to Bond Market
By Editors | 04/09/2020
The rules simplify application procedures for foreign bond investors, unify rules governing various investment channels, and optimise remittance and foreign exchange operations.
Trading & Investment
UOB Issues First Dual Tranche SORA-SOFR Loan for CapitaLand
By Manesh Samtani | 04/09/2020
UOB and CapitaLand aim to enhance market confidence in adopting SORA and help accelerate the transition away from SOR, in line with MAS objectives.
Operational Risk
Three Lines of Defense: Failed Promises & What Comes Next
By Erich Hoefer | 03/09/2020
The 3LoD model and its proposed successor, the Three Lines Model, need to account for social and behavioural drivers of misconduct to achieve their potential.
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