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Trading & Investment
ASIC Extends Product Intervention Order Targeting CFDs
By Editors | 12/04/2022
Since the product intervention order took effect in March 2021, ASIC has observed few losses, margin close-outs, and negative balance occurrences affecting retail client.
Structural Regulation
FSA Issues Guidance for Asset Managers Moving to Japan
By Editors | 12/04/2022
Regulatory requirements have also been amended to allow foreign securities companies entering the Japanese market to submit their registration applications in English.
Trading & Investment
CSRC Takes Steps to Boost Confidence in Capital Market
By Manesh Samtani | 11/04/2022
The CSRC pledged to support companies’ capital raising efforts, encourage asset managers to buy up equities, and encourage listed companies to buy back shares and raise dividends.
Trading & Investment
Work Advances to Bring RMB-denominated Stocks to Hong Kong
By Manesh Samtani | 11/04/2022
Hong Kong official Christopher Hui said a feasibility study has been completed and the next step is to engage with mainland regulators and relevant organisations.
Structural Regulation
SEBI Standardises Industry Classification Framework for CRAs
By Editors | 11/04/2022
The standardised framework will help enable uniformity in the classifications being used across sectors and in the securities market, SEBI said.
Structural Regulation
Global Standard-setters for Audit Need More Diverse Funding
By Editors | 11/04/2022
A new paper calls for financial commitments from investors, regulators, stock exchanges, national standard-setters and auditors to support the work of international audit and ethics standard-setters.
Cryptocurrency
Indonesia to Start Taxing Crypto Investments, Fintech Services in May
By Editors | 10/04/2022
Indonesia will charge a capital gains tax and VAT on crypto transactions, as well as interest and fees generated from fintech services, starting on 1 May 2022.
Conduct, Culture & Accountability
Westpac Super Trustee Fined for Overcharging Commissions
By Editors | 10/04/2022
On top of a A$20mn penalty, BT Funds Management will pay A$9.8mn in remediation to over 9.900 superannuation members.
Structural Regulation
HSBC Raises Stake in China Securities Venture to 90pc
By Editors | 10/04/2022
HSBC Qianhai Securities was set up in 2017 and primarily engages in securities underwriting, brokerage and investment advisory services
Custody & Infrastructure
Thai SEC to Allow Use of Foreign Custodians in DR Issuance
By Editors | 10/04/2022
Under revised guidelines, depository receipt issuers can directly appoint a global custodian or foreign agent to hold overseas securities.
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