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Trading & Investment
FMA Proposes Guidance for Advising on IPOs, Listed Equity
By Editors | 07/07/2022
The guidance explains the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services.
Conduct, Culture & Accountability
MAS, IBF Adjust Training Scheme Funding Parameters
By Editors | 07/07/2022
MAS says training and upskilling culture in the financial sector workforce has taken root, and high uptake in training is encouraging.
Conduct, Culture & Accountability
APRA Proposes Enhanced Disclosures on Remuneration, Risk Metrics
By Editors | 07/07/2022
APRA proposes to require FIs to publicly disclose how their remuneration arrangements are designed and how risk is factored into remuneration outcomes for key executives.
Market Abuse
China to Intensify Supervision of Hog Futures Market
By Editors | 07/07/2022
The Dalian Commodity Exchange has been directed to enhance supervision and monitoring for abnormal transactions and speculative activity.
Trading & Investment
ASIC Issues Guidance on Using Superannuation Forecasting tools
By Editors | 07/07/2022
Under the retirement income covenant, superannuation trustees are expected to consider providing superannuation calculators or retirement estimates to members.
Structural Regulation
BSEC Orders Stock Exchanges to Establish Integrated Reporting Platform
By Editors | 06/07/2022
The DSE and CSE were instructed to consolidate their online data gathering, information submission and dissemination platforms into a single integrated platform.
Supervision & Enforcement
CFTC Fines BNP, JPM for Swap Reporting Violations
By Editors | 06/07/2022
BNP Paribas agreed to pay USD 6 million for failing to correctly report over three million swap transactions. JPMorgan was fined USD 850,000.
Market Data & Technology
HKEX Launches New Digital Investor Relations Platform
By Editors | 06/07/2022
IR Connect provides listed companies free access to shareholder analysis, market data, key stock statistics, research ratings, and competitor information.
Market Risk
JSCC to Change Margin Calculation Method for Listed Derivatives
By Editors | 06/07/2022
The JSCC will release VaR margin calculation software for beta testing later this year. Go-live is planned for the October-December quarter of 2023.
Clearing & Post-Trade
Vietnam Securities Market to Move to T+2 Settlement Cycle
By Editors | 06/07/2022
Under draft regulations, clearing banks will have to complete payment and securities settlement between 11.30am and 12.30pm on T+2.
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