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Conduct, Culture & Accountability
SFC Fines FWD Life for Noncompliance with Key Personnel Requirements
By Editors | 09/01/2019
FWD Life also failed to maintain satisfactory internal controls and written compliance procedures as required under the SFC Code on MPF Products and the Fund Manager Code of Conduct.
Cryptocurrency
UPDATED – Japan FSA Considers Approving Crypto ETFs
By Editors | 08/01/2019
The FSA is gauging industry interest in crypto ETFs, following its release of a new draft framework for the sector that could become law in 2020.
Market Abuse
China Securities Regulator Breaks Record with 2018 Penalties
By Editors | 08/01/2019
The CSRC imposed fines of over $1.55bn in 2018, with the largest number of cases relating to insider trading, illegal disclosures and market manipulation.
Trading & Investment
PBOC Expected to Allow Banks More Flexibility in Setting Rates – Report
By Editors | 08/01/2019
The central bank is expected to allow financial institutions greater flexibility in setting interest rates for loans and deposits in the year ahead.
Structural Regulation
Taiwan to Introduce Automatic Approval for Foreign Investments
By Editors | 08/01/2019
Pre-approval will mean that most ordinary mergers and acquisitions, and start-ups originating from abroad will need to be reported only after the fact.
Structural Regulation
Hong Kong SFC Launches New Online Submission Portal
By Editors | 07/01/2019
All functions and submission services available on the existing SFC Online Portal will be migrated to the new platform in phases.
Trading & Investment
Technical Preparation for Shanghai-London Connect Completed
By Editors | 07/01/2019
The currency conversion system that delayed the launch of the Shanghai-London Stock Connect last month has now been completed.
Conduct, Culture & Accountability
SFC Fund Manager Code of Conduct – Five Important Next Steps
By Derek McGibney | 04/01/2019
Derek McGibney at ACA Compliance Group lays out the activities investment firms should be undertaking to ensure ongoing compliance with the FMCC.
Trading & Investment
HKEX Loosens Requirements to Participate in ETP Market Making
By Editors | 03/01/2019
HKEX has loosened the eligibility criteria and created a more flexible structure to allow global liquidity providers to provide market making for Hong Kong exchange-traded products.
Trading & Investment
SEBI to Phase-In Physical Settlement of Equity Derivatives
By Editors | 02/01/2019
India’s securities regulator will introduce mandatory physical settlement of equity derivatives in a phased approach starting April 2019.
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