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Conduct, Culture & Accountability
Compensation for Poor Advice Reaches A$120m: ASIC
By Editors | 02/08/2019
NAB paid the most to compensate customers for failures by the largest number of advisers, and is expected to take the longest to complete its remediation programme.
Data Privacy
Australia Passes Consumer Data Right Legislation
By Manesh Samtani | 02/08/2019
The passage of the Consumer Data Right legislation clears the way for open banking to start in Australia in February 2020.
Market Data & Technology
TSE Seeks ‘Data Sandbox’ Partners to Support Innovation
By Editors | 02/08/2019
The Tokyo Stock Exchange is looking to startups, data providers and so-called ‘innovation partners’ to help create new services for the securities sector.
Payments & Settlements
NPP Australia Responds to RBA on Platform Access, Functionality
By Editors | 01/08/2019
Effective immediately, NPP Australia has established a mandatory compliance framework allowing it to designate core capability requirements and enforce compliance through non-compliance charges.
Clearing & Post-Trade
SEBI Grants QCCP Status to MCX Clearing Corporation
By Editors | 01/08/2019
SEBI has granted qualifying central counterparty status to Multi Commodity Exchange Clearing Corporation.
Market Data & Technology
SFC Raises Standards for Data Submissions by Brokers
By Manesh Samtani | 01/08/2019
In-scope brokers are expected to implement system changes and make other arrangements needed for compliance with the new Data Standards by end-October 2020.
Conduct, Culture & Accountability
Australia Introducing Bill to End Conflicted Remuneration
By Editors | 31/07/2019
Draft bill to end unfair terms in insurance contracts released on Tuesday; bill to end grandfathering of conflicted remuneration to being introduced Thursday.
Structural Regulation
CSRC Issues New Rules for China Offices of Foreign Exchanges
By Editors | 31/07/2019
Representative offices of foreign exchanges have 12 months to register with the CSRC, and are prohibited from engaging in any profit-making activities in China.
Structural Regulation
JPX, TOCOM Finalise Merger Agreement to Create Integrated Bourse
By Editors | 31/07/2019
TOCOM precious metals, agricultural and rubber products will be transferred to Osaka Exchange, a JPX subsidiary, creating an all-in-one bourse by July 2020.
Structural Regulation
CSRC Issues Comprehensive Rules for Brokerage Firms
By Editors | 31/07/2019
The role of brokerage firms in the securities market has not been fully utilised, and the professional services provided to investors are ‘seriously inadequate’, the CSRC says.
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