Markets & Infrastructure

Structural Regulation

RBNZ Consults on New Policy for Branches of Overseas Banks

By Sanday Chongo Kabange | 07/11/2023

This is the RBNZ’s third consultation regarding its planned new policy for branches of overseas banks.

Capital Adequacy

CSRC Proposes to Relax Capital Rules for Securities Firms

By Editors | 07/11/2023

The proposal adjusts the way securities firms calculate risk weightings, effectively reducing their capital requirements and allowing them to deploy more funds into the capital market.

Structural Regulation

Some Issuers Were Overcharged for Annual Listing Fees: HKEX

By Sanday Chongo Kabange | 07/11/2023

HKEX is contacting issuers that were overcharged to arrange refunds. It does not plan to claim back any of the undercharged fees.

Conduct, Culture & Accountability

India AMCs Get New Guidance on Display of Returns

By Ajoy K Das | 07/11/2023

The new guidelines are a response to concerns from SEBI that some AMCs have been engaging in misleading advertising.

Conduct, Culture & Accountability

ASIC Files First Lawsuit for Non-compliance With IDR Regime

By Sanday Chongo Kabange | 07/11/2023

ASIC says Telstra Super did not respond to more than 100 complaints within the 45 days required under the new internal dispute resolution regime.

Clearing & Post-Trade

CFTC to Allow Brokers Greater Flexibility to Invest Client Funds

By Editors | 06/11/2023

FCMs and DCOs will be able to invest client funds in foreign sovereign debt and certain short-term US Treasury ETFs.

Market Abuse

Korea Reimposes Short Selling Ban to Combat Unfair Trades

By Manesh Samtani | 06/11/2023

The government will ban short selling until end June 2024 and work on improving the short selling system, said FSC chairman Kim Joo-hyun.

Trading & Investment

Philippine Stock Exchange Debuts Short Selling – Report

By Editors | 06/11/2023

A total of 52 stocks and one ETF are available for short-selling. The PSE first proposed to allow short-selling in 1996.

Structural Regulation

Singapore to Introduce New Investment Regime for Critical Entities

By Manesh Samtani | 06/11/2023

The new investment management regime will cover entities that are critical to Singapore’s national security interests but are not yet adequately covered under existing legislation.