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Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
Conduct, Culture & Accountability
SFC Fines HSBC over Inaccurate Licence Application
By Editors | 20/12/2013
The Hong Kong securities regulator on Thursday fined an arm of HSBC $5M HKD (US$640,000) for providing inaccurate information during […]
Structural Regulation
SFC Issues Second Quarter Report
By Editors | 13/12/2013
The Hong Kong Securities and Futures Commission (SFC) has issued its quarterly report for the period July to September 2013.
Conduct, Culture & Accountability
SFC Increases Oversight of Listed Companies
By Editors | 12/12/2013
The Securities and Futures Commission (SFC) will take a broader and more proactive approach in overseeing corporate conduct of listed […]
Structural Regulation
Deutsche Bank Official: Regulation to Dominate Banking
By Editors | 11/12/2013
Regulation will dominate the banking industry for the next year and beyond, according to Dr Paul M Achleitner, Chairman of […]
Structural Regulation
US Regulators Issue Final Rules Implementing Volcker Rule
By Editors | 11/12/2013
Five federal agencies have issued final rules developed jointly to implement section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Volcker Rule”).
Conduct, Culture & Accountability
MAS Consultation Paper on Related Party Transaction Requirements for Banks
By Editors | 06/12/2013
This consultation paper sets out proposed changes to MAS’ requirements on banks’ transactions with their related parties (“RPTs”), which are […]
Structural Regulation
HKEx and SGX Establish Framework for Cooperation on Regulatory Reforms
By Editors | 04/12/2013
HKEx and SGX have agreed to work closer on extraterritorial market infrastructure regulation impacting the Asian region.
Structural Regulation
CSRC to Remove Halt on IPOs
By Editors | 02/12/2013
The China Securities Regulatory Commission (CSRC) is set to reform the platform for Initial Public Offerings (IPO). The CSRC said […]
Conduct, Culture & Accountability
SEBI Consultation Paper on Regulation of Analysts
By Editors | 02/12/2013
The Securities and Exchange Board of India (SEBI) has issued a consultation paper to address a proposed regulation of research analysts.
Structural Regulation
NZ Regulator Announces New CEO
By Editors | 28/11/2013
The New Zealand regulator, the Financial Markets Authority (FMA) has appointed Rob Everett as its new Chief Executive, effective 3 […]
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