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Structural Regulation
IOSCO Consults on Guidelines over Custody of CIS Assets
By Editors | 14/10/2014
The International Organization of Securities Commissions has issued new guidelines regarding custody of collective investment schemes’ (CIS) assets, highlighting issues around the independence of custodians and their role in ensuring the safety of clients’ assets.
Trading & Investment
Shanghai-Hong Kong Stock Connect is a Breakthrough for Direct Access to China Stocks
By Editors | 14/10/2014
Solutions to meet the challenges and deliver opportunities.
AI Risk & Governance
What are the Parallels Between Regulatory Overload and the Role of the Data Scientist?
By Editors | 13/10/2014
As compliance deadlines continue to stack up, Dev Bhudia of GoldenSource explains why the data scientist is playing an increasingly vital role in ensuring financial institutions avoid heavy fines.
Trading & Investment
Taiwan to Relax Rules for Securities Firms
By Editors | 12/10/2014
Taiwan’s top financial regulator said it will relax rules governing the business scope of Taiwanese securities firms’ offshore securities units (OSU), in a move that could boost its stock market and wealth management sector.
Resolution & Recovery
Trying to Stay the Next Derivatives Crisis
By Peter Guy | 10/10/2014
New rules and a major change to derivative contracts will surely create unintended outcomes for everyone.
Structural Regulation
Singapore Seeks Reforms on REIT Market Rules
By Editors | 09/10/2014
The Monetary Authority of Singapore has consulted the industry on a series of reforms to Singapore’s real estate investment trust (REIT) market that relaxes investment rules and imposes measures that safeguard interest of investors.
Trading & Investment
Hong Kong Regulator Warns Against Short Position Reporting Lapses
By Editors | 09/10/2014
The Securities and Futures Commission has warned against inaccurate reports and late filing on short positions, noting that a contravention of rules without a reasonable excuse may constitute a criminal offence.
Clearing & Post-Trade
Asia-Pacific Firms Unprepared for Europe’s Short Settlement Cycle
By Editors | 07/10/2014
Most Asia-Pacific companies which trade securities on European platforms were not prepared for a shorter settlement cycle that took effect in Europe on October 6, a study showed.
Structural Regulation
HKEx and Dual Class Shares: Solving the Chinese Puzzle
By Peter Guy | 07/10/2014
Reconciling the contradictions and problems of dual class shares for the Hong Kong market will define its future.
Cybersecurity
S. Korean Financial Regulator to Relax E-Commerce Rules
By Editors | 07/10/2014
South Korean regulators plan to give financial companies more autonomy in their choice of security programs for online payment systems to boost trade over the Internet.
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