Markets & Infrastructure

Conduct, Culture & Accountability

ABA Sets up Pay and Commissions Review

By Samuel Riding | 13/07/2016

Review will also look at payments to third parties including mortgage brokers.

Trading & Investment

Foreign Securities Firms Can Invest in A-shares – CSRC

By Samuel Riding | 13/07/2016

Securities regulator confirms wholly-owned and JV enterprises can register as private securities firms.

Conduct, Culture & Accountability

Asia’s Conduct Equation

By Samuel Riding | 12/07/2016

Why taking a firm grip on the nebulous concept of conduct requires more than just money and resources.

Fraud, Scams & Cybercrime

CSRC Conducts Forcible De-listing

By Samuel Riding | 11/07/2016

Securities regulator declares “zero tolerance” for IPO fraud in effort to restore stock market credibility.

Trading & Investment

BSE Seeks Approval for Commodity Derivatives Platform

By Samuel Riding | 11/07/2016

Exchange has approached securities regulator for approval of GIFT City-based platform.

Conduct, Culture & Accountability

TWSE Launches Investor Stewardship Principles

By Samuel Riding | 08/07/2016

Guidelines for institutional investors represent shift in focus from regulation, enforcement to market mechanisms.

Conduct, Culture & Accountability

ABA Launches Code of Practice Review

By Samuel Riding | 08/07/2016

Bankers’ association to revamp guidelines for treatment of individuals and small businesses.

Structural Regulation

SSE Says to Implement CPC, CSRC Requirements

By Samuel Riding | 08/07/2016

Shenzhen exchange says to enhance governance structure and standardise management.

Structural Regulation

SEBI to Strengthen Supervision of Bond Rating Agencies

By Samuel Riding | 08/07/2016

Board member Rajeev Kumar Agarwal says to also simplify FPI procedures, crack down on ‘black money’.