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Emerging Prudential Risks
FSB Publishes Work Programme for 2022
By Editors | 31/03/2022
Key focus areas include work to address Covid-19 scarring effects, enhance cross-border payments, and address financial risks from climate change.
Trading & Investment
SEBI Proposes to Shorten Timelines for Open Offers, Buybacks
By Editors | 31/03/2022
The proposed changes include a shorter time period during which an open offer or buyback offer can remain open, from 10 days to 5 days.
Sustainable Finance
ADGM to Launch Regulated Carbon Exchange and Clearinghouse
By Darien Choong | 31/03/2022
ADGM will launch a carbon trading exchange and clearinghouse, offering trading in tokenised carbon credits, carbon credit futures and green energy contracts.
Conduct, Culture & Accountability
ASIC Finalises New Complaints Data Reporting Framework
By Editors | 31/03/2022
Under the framework, 11 large financial firms will be required to report internal dispute resolution data to ASIC for the first time by 28 February 2023.
Operational Risk
RBNZ Satisfied with ANZ NZ Governance Improvements
By Editors | 31/03/2022
ANZ has “invested heavily” in its director attestation framework remediation uplifted its overall governance capabilities.
Structural Regulation
MAS Publishes New Compliance Toolkit for CMS Licensees
By Editors | 31/03/2022
The toolkit is applicable to CMS licensees that deal in capital markets products, advise on corporate finance, or provide product financing, custodial services or credit rating services.
Fraud, Scams & Cybercrime
CSRC Revokes Licences of Two Investment Consulting Firms
By Editors | 31/03/2022
The two well-established securities investment consulting firms were found to have disseminated false or misleading information to investors.
Clearing & Post-Trade
HKEX Enhances Third Party Clearing Arrangement for HKFE Contracts
By Editors | 31/03/2022
As of Monday, non-clearing participants can appoint more than one general clearing participant to clear and settle HKFE contracts.
Payments & Settlements
RBI to Require Geo-Tagging of Payment System Touch Points
By Editors | 31/03/2022
Banks and payment system operators will have to capture, maintain and report the geographical coordinates of all payment touch points deployed by merchants.
Structural Regulation
HKMA Updates Trade Reporting Specifications for OTC Derivatives
By Editors | 30/03/2022
A revised Administration and Interface Development Guide will take effect from 19 December 2022, taking into account pandemic-related operational challenges.
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