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Markets & Infrastructure
Conduct, Culture & Accountability
Australia: Tax Practitioners Board Bans Ex-PwC Partner for Two Years
By Editors | 26/01/2023
Former PwC tax partner Peter-John Collins leaked information about confidential tax reforms being proposed at the time.
Structural Regulation
Taiwan Fines Foxconn Over Unapproved China Investment
By Editors | 26/01/2023
A Foxconn subsidiary acquired a stake in China’s Tsinghua Unigroup in July last year, without seeking regulatory approval.
Trading & Investment
CSRC Grants QDII Status to Morgan Stanley Unit
By Editors | 25/01/2023
Morgan Stanley Huaxin Fund Management is the 10th asset manager to obtain QDII status, which allows firms to invest offshore for mainland investors.
Market Data & Technology
US SEC Fines Bloomberg Over “Misleading” BVAL Disclosures
By Editors | 25/01/2023
SEC commissioners Hester Peirce and Mark Uyeda issued a joint statement saying they do not support the action against Bloomberg.
Trading & Investment
NYSE System Issue Causes Trading Halts on Major Stocks
By Editors | 25/01/2023
The regular opening auction “did not occur” for a number of stocks so no opening price was printed. Executed trades will be declared “null and void”.
Trading & Investment
Korea to Improve Market Access for Foreign Investors, Allow STOs
By Editors | 25/01/2023
Korea will abolish the complex registration system for foreign investors, require English disclosures from listed companies, and establish a regulatory framework for security tokens.
Conduct, Culture & Accountability
EU Faces Industry Opposition on Proposed Commission Ban
By Mark Johnston | 24/01/2023
Financial industry associations say a ban on commissions paid to financial advisers for selling financial products would harm consumers.
KYC & CDD
CSRC Revises Rules for Securities Brokerage Businesses
By Editors | 24/01/2023
The rules strengthen requirements for firms to protect customers and implement transaction management and process controls.
Trading & Investment
Bangladesh to Form New Market for Shariah Compliant Securities
By Editors | 23/01/2023
The BSEC has formed a-nine member advisory council to help develop the new Islamic capital market.
Trading & Investment
Bangladesh: Chittagong Bourse Seeks to Launch FX Derivatives
By Editors | 21/01/2023
Currently, there are no regulations in Bangladesh allowing for the introduction of currency or other financial derivatives.
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