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Structural Regulation
ASIC Proposes Warrants and ETFs on Chi-X
By Editors | 20/08/2015
The Australian Securities and Investments Commission has proposed changes to its market integrity rules which would allow stock market operator Chi-X Australia to start quoting and trading warrants and exchange traded funds.
Market Data & Technology
CPMI-IOSCO Consult on Unique Transaction Identifier Harmonisation
By Editors | 20/08/2015
The Committee on Payments and Market Infrastructures and the International Organization of Securities Commissions have published a consultative report on the harmonisation of the Unique Transaction Identifier for OTC derivatives.
Structural Regulation
More Time for Commodity Exchanges to Meet New SEBI Guidelines
By Editors | 20/08/2015
Securities and Exchange Board of India chief U.K. Sinha has met with key officials of national and regional commodity exchanges to iron out certain issues related its upcoming merger with the Forward Markets Commission.
Structural Regulation
Vietnam Regulator Raises Foreign Ownership Limit for Public Firms
By Editors | 20/08/2015
Vietnam’s State Securities Commission has issued a circular to guide the implementation of a new law raising the foreign ownership limit (FOL) in public companies to 100 percent.
Emerging Prudential Risks
Believe It – More Fund Management Regulation Coming
By Peter Guy | 19/08/2015
Resistance by Fidelity Investments and BlackRock is futile. Large fund managers pose a systemic risk in their own way.
Conduct, Culture & Accountability
SEBI to Assess Compensation Policy at Mutual Funds
By Editors | 18/08/2015
The Securities and Exchange Board of India will start collecting details of salaries paid to employees and top officials at mutual funds to calculate the cost of funds of asset management companies.
Conduct, Culture & Accountability
Big Aussie Banks Refuse to Contribute to Compensation Fund
By Editors | 17/08/2015
The big bank lobby is refusing to fund a “last resort” compensation fund for victims of financial planners that go bust, arguing that smaller companies should fund it themselves.
Structural Regulation
SFC Reveals Direct Pathway for HK Brokers to Deal with US Customers
By Editors | 17/08/2015
Hong Kong’s Securities and Futures Commission has issued a circular describing the application procedure for certain licensed corporations to deal directly with customers in the United States.
Capital Adequacy
APRA Updates Guidelines on the Use of Restricted Banking Terms
By Editors | 17/08/2015
The Australian Prudential Regulation Authority has released updated guidelines in relation to the use of restricted terms in banking services.
Trading & Investment
China’s Central Bank Intervenes to Stabilise Yuan
By Editors | 14/08/2015
The People’s Bank of China ordered state banks to buy yuan, at designated rates on behalf of the monetary authorities, to stem the currency’s slide.
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