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Structural Regulation
HK, Switzerland Agree Mutual Recognition of Funds
By Samuel Riding | 04/12/2016
Agreement to allow cross-border sales includes rules on equal treatment of investors.
Market Data & Technology
India Revamps Co-Location Facility Rules
By Samuel Riding | 02/12/2016
New rules require one exchange to “allow connectivity” to co-location servers at another.
Market Abuse
ASX to Take Control of BBSW
By Samuel Riding | 02/12/2016
Financial Markets Association to hand over reins as ASIC cases continue.
Trading & Investment
DBS Taiwan Fined for TRF Mis-selling
By Samuel Riding | 02/12/2016
Regulator has so far fined 16 banks $2.25mn for malpractice in selling the currency options.
Cybersecurity
Japan FSA Sets Out 2017 Agenda
By Samuel Riding | 01/12/2016
Regulator says to boost cybersecurity, fintech; examine HFT trading regulation.
Structural Regulation
Vietnam to Revamp Foreign Investor Access Rules
By Samuel Riding | 01/12/2016
Securities Commission to complete legal framework, ensure ‘quality monitoring’.
Structural Regulation
Thailand, Myanmar Discuss Banking Equivalency
By Samuel Riding | 30/11/2016
Agreement under ASEAN Banking Integration Framework would be 1st for Myanmar.
Trading & Investment
India Working on Fund Passport Scheme
By Samuel Riding | 30/11/2016
Indian investors currently only allowed to participate in overseas funds via feeder structures.
Structural Regulation
SFC Mandates Online Submission of Licensee Documentation
By Samuel Riding | 30/11/2016
Paper filing by individual applicants and licensees will not be allowed from 1 February 2017.
Conduct, Culture & Accountability
Australian Banks to Conduct ‘Cross-selling’ Audit
By Samuel Riding | 30/11/2016
ASIC has written to 8 financial institutions requesting audit; also looking at financial advice businesses.
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