Markets & Infrastructure

Fraud, Scams & Cybercrime

A Duty of Care: SFC, HKEx and China Metals Recycling

By Peter Guy | 26/01/2016

Hong Kong regulators and listing sponsors must share responsibility for IPO fraud.

Conduct, Culture & Accountability

SEBI to Limit Fund TERs

By Samuel Riding | 25/01/2016

Move to cut total expense ratios designed to curb miss-selling.

Credit Risk

Vietnam to Create New Consumer Lending Framework

By Samuel Riding | 25/01/2016

State bank issues draft proposal covering instalment loans, overdraft loans via credit cards and vouchers.

Structural Regulation

NSE Seeks Self-listing Approval

By Samuel Riding | 22/01/2016

SEBI does not normally allow exchanges to self-list, NSE wants to avoid listing on rival.

Structural Regulation

Japan, EU Making ‘Substantial Progress’ on Regulatory Cooperation

By Samuel Riding | 22/01/2016

Annual meeting cites concerns about impact of reforms on economic growth, updates on regulatory cooperation framework.

Structural Regulation

OJK Issues Alternative Financing Rules

By Samuel Riding | 21/01/2016

Indonesian regulator requires VC firms to establish legal entities, sets minimum capital requirements.

Structural Regulation

Thailand Launches Crowdfunding Consultation

By Samuel Riding | 20/01/2016

Securities regulator seeks feedback on managing conflicts of interest and compliance monitoring systems.

Structural Regulation

MAS Set to Finalise OTC Reporting Regime

By Samuel Riding | 19/01/2016

Consultation on commodity and equity derivatives represents final phase of OTC reporting regime introduced in 2013.

Structural Regulation

Reports of CSRC Chief’s Resignation Premature

By Samuel Riding | 19/01/2016

Regulator says in social media posting that Xiao Gang has not offered to resign despite circuit breaker failure.