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Clearing & Post-Trade
European Commission Proposes Enhancements to CSDR
By Editors | 19/03/2022
The proposal seeks to provide more proportionate and effective rules for CSDs, while also facilitating their ability to offer cross-border services.
Conduct, Culture & Accountability
Australia Releases Terms of Reference for Quality of Advice Review
By Editors | 18/03/2022
The review presents will assess how the regulatory framework for financial advice could deliver better outcomes for consumers.
Trading & Investment
Thai SEC, World Bank Partner on Capital Markets Development
By Editors | 18/03/2022
The study will help the SEC ensure the capital market is responsive to the needs of investors and serves as a key mechanism to drive the economy towards sustainable growth.
Clearing & Post-Trade
ASIC Expresses “Significant Concern” Over 4-Hour Outage at ASX
By Editors | 18/03/2022
After the incident on Thursday, ASIC said it views the outage with “significant concern” due to its “significant impact” on the market, market participants and investors.
Trading & Investment
Hong Kong’s First SPAC Listing Debuts on HKEX Main Board
By Sanday Chongo Kabange | 18/03/2022
Aquila Acquisition Corporation was the first SPAC in Hong Kong to win approval from HKEX for a listing since the city’s SPAC listing regime was introduced.
Conduct, Culture & Accountability
NZ FMA to Publish Revised Conduct Guide for Consultation Soon
By Ranamita Chakraborty | 18/03/2022
The conduct guide sets out principles that financial services providers should apply when they are designing products or delivering services to the public.
Trading & Investment
SFC Seeks to Allow Broker Participation in GBA Wealth Connect
By Sanday Chongo Kabange | 18/03/2022
A hurdle that still needs to be overcome is that Hong Kong brokerages are currently prohibited from distribution and soliciting clients in mainland China.
Trading & Investment
Australian Super Funds Shy Away from Chinese Equities – Report
By Sanday Chongo Kabange | 18/03/2022
China’s crackdown on certain sectors has left super fund executives fearing that direct equity exposures to China may not be worth the added risk.
Trading & Investment
SGX Selects Tata Consultancy Services to Power GIFT Connect
By Editors | 17/03/2022
The GIFT Connect system will permit SGX members to place orders on NSE IFSC using FIX/proprietary APIs or the TCS BaNCS dealing terminal.
Conduct, Culture & Accountability
Seoul Court Upholds FSS Reprimand Against Hana Vice Chair
By Editors | 17/03/2022
The court ruled that Hana Financial Group vice chairman Ham Young-joo was responsible for failing to protect retail investors from high risk financial products.
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