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Structural Regulation
Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
Emerging Prudential Risks
APRA Finalises Phase 2 Enhancements to Superannuation Data Collections
By Thisanka Siripala | 10/12/2024
APRA will gain additional information from super funds about governance practices, product distribution arrangements, and investment governance.
Structural Regulation
India Surprises Market With New RBI Governor Appointment
By Editors | 10/12/2024
Sanjay Malhotra, Revenue Secretary in the Ministry of Finance, was appointed as RBI governor for a three-year term.
Trading & Investment
SEBI Proposes to Introduce Closing Auction Session for Indian Stocks
By Editors | 09/12/2024
SEBI proposes to replace the VWAP mechanism with a 15-minute CAS session to determine the closing prices of stocks.
Structural Regulation
SEBI to Require Central Storage of IPO Due Diligence Documents
By Editors | 08/12/2024
SEBI said the stock exchanges have set up a platform which merchant banks must use to store their IPO due diligence documents.
Structural Regulation
SEBI Disposes of Proceedings Against Brickwork Ratings
By Editors | 07/12/2024
The settlement order requires Brickwork Ratings to pay a penalty. SEBI had previously cancelled the CRA’s licence but its order was overturned on appeal.
PEPs & Sanctions
China Lifts Remaining Restrictions on Australian Red Meat Imports
By Editors | 06/12/2024
Over the last two years, China has been lifting restrictions on Australian export commodities that started in 2020 amid rising tensions between the two countries.
AI Risk & Governance
CFTC Issues Advisory on Use of AI by Regulated Entities
By Nithya Subramanian | 06/12/2024
The advisory is intended to remind market participants of their regulatory obligations as they begin to develop and implement AI.
PEPs & Sanctions
China Sanctions 13 US Military Firms & Six Executives
By Editors | 06/12/2024
The sanctions, imposed under China’s Anti–Foreign Sanctions Law, are a response to a recent announcement of US arms sales to Taiwan.
Clearing & Post-Trade
EACH Calls for Global Consistency in CCP Regulation
By Mark Johnston | 05/12/2024
The European Association of CCP Clearing Houses released a manifesto offering recommendations to enhance capital market efficiency and resilience.
Conduct, Culture & Accountability
ASIC Publishes Industry Complaints Data for the First Time
By Sanday Chongo Kabange | 05/12/2024
ASIC says over 4.7 million complaints reported indicate that some financial firms may not be reporting complete and accurate IDR data.
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