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Trading & Investment
China Releases Guidelines on Shanghai-London Stock Connect
By Editors | 15/10/2018
The guidelines set a minimum cap for London-listed firms seeking to issue depository receipts in China, among other requirements.
Market Abuse
SFC Ramps Up Enforcement Against Capital Market Abuse
By Manesh Samtani | 12/10/2018
Life is about to get very uncomfortable for those who abuse Hong Kong’s capital markets, said the SFC’s Thomas Atkinson at the 2018 Refinitiv Pan Asian Regulatory Summit.
Anti-Money Laundering
Taiwan FSC to Probe Recent Fee Hikes at Banks
By Editors | 12/10/2018
Seven state-banks have raised fees for foreign remittances, saying the extra charges are needed to offset costs associated with upgrades to money laundering controls.
Conduct, Culture & Accountability
Australian Bank Body Seeks an End to Fees For No Service
By Garima Chitkara | 11/10/2018
The Australian Banking Association will change its voluntary code of practice for bankers to end ‘fees for no service’, grandfathered payments and trail commissions.
Clearing & Post-Trade
ISDA, EU Industry Bodies Warn of ‘Cliff Edge’ Effects ‘No Deal’ Brexit
By Manesh Samtani | 10/10/2018
New paper proposes steps that can be taken now to mitigate potentially systemic consequences of the UK leaving the EU without a withdrawal agreement and transition period in place.
Clearing & Post-Trade
HKEX to Roll Out Nasdaq Real-Time Risk Technology
By Manesh Samtani | 10/10/2018
The technology provides HKEX with a single point-of-entry for risk management across its markets and enables CCPs more efficient operations and regulatory compliance.
Market Abuse
SFC to ‘Vigorously Pursue’ Individuals Culpable for Misconduct
By Manesh Samtani | 10/10/2018
The SFC will do “whatever it takes” to tackle capital markets misconduct, said deputy chief executive Julia Leung at the 2018 Refinitiv Pan Asian Regulatory Summit.
Trading & Investment
India Permits Commodity Derivatives Trading by Foreign Investors
By Editors | 10/10/2018
Trading limits will be based on foreign investors’ actual exposure to India’s commodity markets, which needs to be verified and monitored by brokers and exchanges.
Trading & Investment
MAS Issues Guidelines on Provision of Robo-Advisory Services
By Editors | 09/10/2018
Guidelines allow digital advisers to pass client orders to brokerage firms for execution without the need for an additional capital markets services licence.
Trading & Investment
Hong Kong, UK Sign Mutual Recognition of Funds Agreement
By Manesh Samtani | 09/10/2018
The agreement allows eligible funds in Hong Kong and the UK to be distributed in each other’s market through a streamlined process.
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