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Markets & Infrastructure
Conduct, Culture & Accountability
SFAT Upholds SFC’s Decision to Bar Ex-UBS Banker for Two Years
By Mark Johnston | 30/09/2023
The SFAT has upheld the SFC’s decision to prohibit Calvin Choi from re-entering the industry for two years.
Structural Regulation
Singapore: New CMFAS Exams to Commence from 1 April 2024
By Editors | 30/09/2023
The commencement date was announced in MAS’ response to a 2020 consultation on competency requirements for financial advisers and CMS licence holders.
Conduct, Culture & Accountability
US Regulators Fine 12 More Entities in WhatsApp Probe
By Editors | 29/09/2023
The latest penalties target broker-dealers, their investment advisory businesses, as well as two credit rating agencies.
Clearing & Post-Trade
ESMA Withdraws JSE Clear’s Recognition Decision
By Editors | 29/09/2023
JSE Clear will no longer be permitted to provide clearing services to clearing members or trading venues in the EU.
Structural Regulation
UK, NZ Sign Pact to Mutually Recognise Auditor Qualifications
By Sanday Chongo Kabange | 29/09/2023
The New Zealand FMA and UK’s FRC have agreed on mutual recognition of the professional qualifications of auditors.
Trading & Investment
India Considers Allowing Trading in Fractional Shares – Report
By Mark Johnston | 29/09/2023
Fractional shares could simplify investing for India’s retail investors and help address the market entry challenges they currently face.
Structural Regulation
HKEX Allows Saudi Companies to Apply for Secondary Listings in Hong Kong
By Editors | 29/09/2023
Companies with a primary listing on the Saudi Exchange’s Main Market can apply for a secondary listing in Hong Kong.
Structural Regulation
HSBC to Acquire Citi Consumer Business in China – Report
By Editors | 29/09/2023
HSBC will reportedly acquire Citigroup’s China consumer wealth management business in a deal that could be announced as early as next month.
Conduct, Culture & Accountability
Citigroup Fined for Violating Disclosure Obligations Under Reg BI
By Editors | 29/09/2023
Citi defaulted about 360,000 accounts to receive disclosures electronically without receiving proper consent from the customers.
Trading & Investment
Regulators Announce Planned Enhancements for Wealth Connect
By Editors | 29/09/2023
The eligibility, product range, investment and sales limits will be enhanced, and securities firms will be allowed to participate.
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