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Structural Regulation
SFC Gains Access to Mainland Audit Papers for Investigations
By Editors | 04/07/2019
The MOF and CSRC agree to provide the “fullest assistance” in response to SFC requests for investigative assistance regarding the provision of audit working papers.
Trading & Investment
BOJ Publishes Consultation on JPY Interest Rate Benchmarks
By Editors | 03/07/2019
The consultation paper presents and evaluates five options that can be used as alternative benchmarks upon transition and as fallback replacement benchmarks.
Payments & Settlements
Australian Payments Council Releases New Strategic Agenda
By Editors | 03/07/2019
The strategic agenda sets out five areas that will guide the APC’s work to ensure the payments system remains resilient, efficient, accessible, and adaptable.
Structural Regulation
China to Remove Foreign Ownership Limits a Year Early
By Editors | 03/07/2019
Premier Li Keqiang said at the World Economic Forum in Dalian that foreign ownership limits in the financial sector will end in 2020, ahead of schedule.
Structural Regulation
NZX Completes Migration to Single Board, New Listing Rules
By Editors | 02/07/2019
NZX’s updated rule set took effect in January, but participants were allowed a six month transition period for adoption before the move to a single board.
Conduct, Culture & Accountability
Australia: New Law Safeguards Super Accounts from Excessive Fees
By Editors | 02/07/2019
Australia’s government says the new legislation will protect super savings from from being eroded by excessive and unnecessary fees and insurance costs.
Conduct, Culture & Accountability
Stronger Whistleblower Protections Take Effect in Australia
By Editors | 02/07/2019
The stronger protections for whistleblowers apply to misconduct or an improper state of affairs or circumstances, not just breaches of the law.
Clearing & Post-Trade
ESMA Recognises NSE IFSC Clearing Corp as Third Country CCP
By Editors | 02/07/2019
The recognition ensures European participants can apply lower risk to trade exposures to NSE IFSC Clearing Corporation and thus benefit from lower capital requirements.
Conduct, Culture & Accountability
ASIC to Hold Public Hearings on Responsible Lending
By Editors | 02/07/2019
The public hearings will provide a “robust and transparent way” to air issues and views raised in written submissions responding to ASIC’s February consultation on responsible lending.
Tokenisation
Taiwan Targets October Start Date for World’s First STO Rules
By Editors | 02/07/2019
Fundraising through STOs will be capped at TWD300mn; individual investors will be allowed to purchase up to TWD300,000 worth of security tokens.
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