Markets & Infrastructure

Operational Risk

RBA, ASIC Take “Unprecedented” Action over ASX CHESS Outage

By Sanday Chongo Kabange | 31/03/2025

ASX is ordered to engage an independent expert to undertake a technical review of its core technology infrastructure.

Conduct, Culture & Accountability

New Zealand’s CoFI Regime Enters Into Force

By Sanday Chongo Kabange | 31/03/2025

The CoFI regime requires banks, insurers, and non-bank deposit takers to establish, implement, and maintain effective fair conduct programmes.

Conduct, Culture & Accountability

MAS Finalises Rule Changes to Improve Retail Client Safeguards

By Nithya Subramanian | 31/03/2025

Enhancements to pre and post-transaction safeguards for retail clients purchasing investment products will come into effect on 29 December 2025.

Credit Risk

HKMA Ask Banks to Heed SFC Guidance on IPO Financing

By Sanday Chongo Kabange | 31/03/2025

Banks are directed to comply with new SFC guidance on IPO financing, particularly the investor identification requirement under FINI.

Structural Regulation

SFC Consults on Proposals to Streamline Regulatory Processes

By Sanday Chongo Kabange | 31/03/2025

For post-IPO matters, the SFC proposes a less disruptive alternative to suspension. For trading suspensions, applications for resumption will be processed more quickly

Capital Adequacy

MAS Confirms Plans to Revise Rules for Exchanges and Clearing Houses

By Nithya Subramanian | 29/03/2025

MAS will tighten solvency requirements for capital market FMIs and require them to hold sufficient cash for recovery or orderly wind-down.

Trading & Investment

Hong Kong to Expand Concessions for Family Offices

By Manesh Samtani | 29/03/2025

Hong Kong officials Paul Chan and Christopher Hui said there would be new initiatives this year for funds, family offices and private equity firms.

Clearing & Post-Trade

HKMA Sets Testing Deadline for New Derivatives Reporting Regime

By Manesh Samtani | 29/03/2025

Regulated entities subject to the new OTC derivatives reporting regime must complete the simulation test and submit a readiness declaration form by 12 September.

Structural Regulation

HKEX Issues Compliance Bulletin on ChiNext Trading, LOP Reporting

By Manesh Samtani | 29/03/2025

The bulletin focuses on elibility for trading in ChiNext shares and compliance with LOP reporting requirements for Holiday Trading contracts.