Structural Regulation

    Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.

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    Trading & Investment

    Korea Introduces New Rules for Online Investment Advisers

    By Editors | 21/08/2024

    Firms that offer investment advice through social media and stock trading chatrooms will be regulated as investment advisory firms.

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    Trading & Investment

    Hong Kong MPFA to Pursue Further Pension System Reforms

    By Sanday Chongo Kabange | 21/08/2024

    The MPFA will make it easy for members to switch providers and expand the choices of REITs available to scheme members.

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    Market Data & Technology

    Stock Connect’s 2nd Phase of Market Data Changes Now in Effect

    By Sanday Chongo Kabange | 20/08/2024

    The changes may lower volatility and help stabilise the A-share market, but may also lower the market’s appeal to some foreign investors.

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    Trading & Investment

    SEBI Proposes Liquidity Window Facility for Debt Securities

    By Ajoy K Das | 20/08/2024

    The facility would allow issuers to provide put options to investors, enabling them to sell their debt securities back to the issuer before maturity.

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    PEPs & Sanctions

    Shanghai Chip Equipment Firm Sues for Removal from US Blacklist

    By Editors | 20/08/2024

    AMEC said it has never been involved in any military-related activities and its inclusion in the US blacklist was without legal basis.

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    Structural Regulation

    Japan to Require Foreign Investment Reviews for More Industries

    By Editors | 20/08/2024

    Foreign investment in companies that produce machinery, equipment, parts, and materials used in semiconductor manufacturing will be subject to review.

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    Structural Regulation

    RBI Issues Recognition Framework for Financial Market SROs

    By Ajoy K Das | 20/08/2024

    SROs would be expected to “be an ally” to the RBI in ensuring better compliance with regulatory guidelines and for detection of early warning signals.

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    Structural Regulation

    SFC Lifts Suspension of Changjiang Corporate Finance

    By Sanday Chongo Kabange | 20/08/2024

    The SFC said it is satisfied that Changjiang’s sponsor business now has adequate systems, controls, policies and procedures to enable compliance.

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    Supervision & Enforcement

    ASIC Stands Firm Despite Mounting Criticisms of Failures

    By Natasha Teja | 20/08/2024

    An inquiry into ASIC’s capacity and capability identified a need for reforms, but these appear to be contingent on next year’s elections.

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    Alternative Markets

    SEBI Permits Market Borrowings by Category I and II AIFs

    By Ajoy K Das | 19/08/2024

    Under existing rules, Category I and II AIFs are not allowed to borrow or use leverage for investments, except in limited cases for temporary needs.

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