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Structural Regulation
ESMA to Bring 3rd-country CRAs, Trade Repositories Under EU Supervision
By Samuel Riding | 04/12/2017
ESMA executive director Verena Ross says more than 200 non-EU trading venues have asked for exemptions from MiFID II post-trade transparency, position limits.
Supervision & Enforcement
Australia to Kick off Long-awaited Royal Commission into Financial Sector
By Editors | 04/12/2017
Inquiry to look into alleged misconduct in financial sector welcomed by banks, securities regulator, but not superannuation scheme operators.
Structural Regulation
HK SFC, CSRC Agree Investor ID System for Northbound Stock Connect
By Editors | 04/12/2017
SFC says Northbound scheme will be followed by Southbound investor identification, eventually spread to all SEHK investors.
Custody & Infrastructure
Malaysia Trialling Blockchain-based Unlisted, OTC Markets
By Editors | 04/12/2017
Distributed ledger trial will form basis of technology architecture, software functions and development standards to underpin markets.
Trading & Investment
BoJ Urges Asian Local Currency Debt Market Development
By Garima Chitkara | 30/11/2017
Haruhiko Kuroda says firms in Asia need to diversify their sources of funding to protect against market shocks as ASEAN initiatives increase.
Conduct, Culture & Accountability
Australian Securities Regulator Fines VW Financing Arm
By Editors | 30/11/2017
Move hints at increasing global concern that car finance, fuelled by low interest rates, could be source of next sub-prime crisis.
Structural Regulation
Asian Firms at Risk of Drowning Under Wave of Regulation from US, Europe
By David Farmery | 30/11/2017
The wave of financial regulation about to wash over Europe and North America could eventually overwhelm Asian institutions.
Clearing & Post-Trade
SGX Revamping Securities Settlement Processes
By Editors | 30/11/2017
Exchange consultation proposes move to T+2 settlement, simultaneous securities, money settlement in bid to prevent systemic risk.
Structural Regulation
Stock Exchange Reality: Profit Versus Regulations
By Peter Guy | 27/11/2017
HKEX and SFC recently decided to admit dual class share listings, but reject a start-up board. Their decisions will change key regulatory principles.
Conduct, Culture & Accountability
HK Regulators Warn on Conflicts of Interest in Product Sales
By Editors | 27/11/2017
HKMA, SFC say some intermediaries aren’t revealing related counterparties, not executing at best price, hide cheaper products.
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