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Conduct, Culture & Accountability
SFC Bans BNP Representative for Unauthorised Discretionary Trading
By Editors | 29/03/2022
The relationship manager asked clients to pre-sign blank instruction forms so he could place trades for their accounts without having to inform them in advance.
Structural Regulation
Thailand SEC Unveils 2022-2024 Strategic Plan
By Editors | 29/03/2022
The SEC will seek to enhance competitiveness, ensure inclusiveness, and strengthen trust and confidence in the capital market.
AI Risk & Governance
Australia Consults on Regulatory Framework for Financial Advice
By Sanday Chongo Kabange | 29/03/2022
The consultation asks how fintech could help reduce financial advice costs and how to make advice more accessible, including through robo-advisers.
Trading & Investment
SSE, SZSE Issue Rules to Expand Stock Connect to Europe
By Editors | 29/03/2022
UK, Swiss and German listed companies can issue CDRs in China if they have a market cap of at least $3.14bn and a listing history of at least three years.
Clearing & Post-Trade
ASX Announces Likely Delay to Chess Replacement Go-Live
By Editors | 29/03/2022
The next software release from technology provider Digital Asset has been delayed by three months, impacting the project schedule.
Trading & Investment
SEBI to Allow Exchanges to Offer Commodity Index Options
By Editors | 29/03/2022
SEBI has set out a product design and risk management framework that should be used by exchanges looking to offer such products.
Trading & Investment
Bursa Malaysia to Incentivise Research into Listed Companies
By Editors | 29/03/2022
The initiative will lead to better value recognition for companies and enhance corporate governance, transparency and disclosure, Bursa Malaysia said.
Trading & Investment
CSRC to Promote Bond Issuance by Private Enterprises
By Editors | 29/03/2022
Priority will be given to support bond issuances by private firms in high-tech and strategic emerging industries, the CSRC said.
CBDCs
Bank of Japan Concludes Phase One CBDC Testing
By Editors | 28/03/2022
Phase one testing explored the feasibility of CBDC issuance, distribution and redemption. Phase two will test additional functions starting next month.
Payments & Settlements
HKMA Issues Additional Guidance for SVF Licensees
By Editors | 28/03/2022
New practice note offers guidance on governance, outsourcing, internal controls, technology risk, and business conduct, among other areas.
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