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Trading & Investment
UK FCA Fines UBS for MiFID Transaction Reporting Failures
By Editors | 22/03/2019
Over 9.5 years, UBS AG made 135.8 million errors in its transaction reporting, over a third of which involved erroneously reported transactions which were not in fact reportable.
Market Data & Technology
ISDA Publishes Full Version of Derivatives Lifecycle Blueprint
By Editors | 22/03/2019
The ISDA Common Domain Model for interest rate and credit derivatives has been published, part of a push to standardise global derivatives trading and automate market practices.
Structural Regulation
SEBI Consults on Adoption of Dual Class Share Structures
By Editors | 22/03/2019
SEBI’s consultation paper seeks feedback on the issuance of dual class shares by companies already listed in India and those that may be in future.
Trading & Investment
RBA’s Kent Urges Continued Preparation for the End of LIBOR
By Editors | 21/03/2019
The RBA’s Christopher Kent urges market participants to continue preparing for the end of LIBOR by moving to alternative RFRs and adopting more robust fall-back provisions in contracts.
KYC & CDD
BOCHK Launches Pilot Service for Mainland Account Opening
By Editors | 20/03/2019
BOCHK has been granted regulatory approval to launch a pilot scheme that enables Hong Kong citizens to open a personal bank account in the mainland, remotely.
Conduct, Culture & Accountability
FMSB Reports Progress in Enhancing Market Conduct Standards
By Editors | 20/03/2019
The FICC Markets Standards Board, in its 2018 annual report, highlighted key achievements to enhance standards of behaviour in wholesale FICC markets.
Sustainable Finance
ACMF Advances Efforts on Sustainable Finance, Regional Connectivity
By Editors | 20/03/2019
The ASEAN Capital Markets Forum has endorsed a roadmap for promoting sustainable investment and launched a framework for cross-border publication of research.
Conduct, Culture & Accountability
AFCA Consults on Expanded Remit to Cover Legacy Complaints
By Editors | 20/03/2019
The consultation follows the government’s recent expansion of AFCA’s remit allowing it to handle legacy complaints dating back to 1 January 2008.
Clearing & Post-Trade
UPDATED – Bank of England Grants Recognition to Indian Clearing Corporations
By Editors | 20/03/2019
The Metropolitan Clearing Corporation of India is the first Indian clearing corporation to receive recognition from under the UK’s temporary recognition regime.
Trading & Investment
Shanghai’s New High-Tech Board Starts Receiving IPO Applications
By Editors | 20/03/2019
Eleven firms have so far announced plans to list on the new board, six of which are already traded on OTC markets or other exchanges.
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