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Market Data & Technology
SEHK to Unify Main Board, GEM Websites From 28 May
By Editors | 08/05/2022
The websites will be unified to optimise HKEX’s technical infrastructure and provide investors more streamlined access to market information.
Structural Regulation
US-China Talks on Audit Cooperation in ‘Late Stage’ – Reports
By Darien Choong | 08/05/2022
The talks are described as “late stage” due to concessions made by the CSRC. The SEC has added over 80 more companies to a list of Chinese firms that could be delisted in New York.
Conduct, Culture & Accountability
HKMA Sets Timeline for Mandatory Reference Checking Regime
By Sanday Chongo Kabange | 08/05/2022
Banks have until 2 May 2023 to put in place the necessary internal controls, policies and procedures required for Phase 1 implementation of the MRC regime.
Market Data & Technology
SEBI Directs Stock Exchanges to Audit Systems and Networks
By Editors | 08/05/2022
Stock exchanges must certify that their trading architecture and co-location facilities conform with regulatory requirements and treat all market participants fairly and equitably.
Trading & Investment
China Announces Planned Measures to Boost Capital Market
By Darien Choong | 08/05/2022
The CSRC and stock exchanges will support fundraising by SMEs and real estate firms, and encourage listed companies, their shareholders, and institutional investors to buy more stock.
Conduct, Culture & Accountability
RBI Issues Guidance for NBFCs on Senior Manager Remuneration
By Editors | 07/05/2022
NBFCs should constitute remuneration committees and use malus or clawback arrangements to account for possible misconduct or poor financial performance.
Conduct, Culture & Accountability
CBIRC Warns Three FIs Over Complaints Handling Violations
By Editors | 07/05/2022
ICBC, China Everbright Bank and China Post Life Insurance violated the CBIRC’s rules for handling customer complaints and reporting complaints data.
Structural Regulation
CBIRC Revises Internal Control Rules for Wealth Management Firms
By Darien Choong | 06/05/2022
The draft rules leverage good regulatory practices from the asset management industry both domestically and overseas, the CBIRC says.
Emerging Prudential Risks
DTCC Calls for Greater Scrutiny of Interconnectedness Risks
By Editors | 05/05/2022
Interconnectedness, while providing benefits, poses certain risks that need to be recognised and analysed to guard against system-wide vulnerabilities, DTCC says.
Trading & Investment
BSEC to Encourage Brokerage Firms to Launch IPOs
By Editors | 05/05/2022
Brokerage firms that are allowed to issue IPOs will be able to increase investment flows to the market and enhance their monitoring, BSEC said.
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