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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    Structural Regulation

    CSRC Releases Legislative Work Plan for 2024

    By Editors | 15/04/2024

    The legislative agenda includes plans to revise the CSRC’s rules for private funds, REITs, and securities and futures firms, including in relation to information tecchnology.

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    Structural Regulation

    China Puts Forward Tighter Regulations for Stock Market

    By Manesh Samtani | 15/04/2024

    The rules will tighten listing requirements, speed up delisting of problem firms, and enhance supervision of programme trading.

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    Market Data & Technology

    Data Dissemination Arrangements Adjusted for Stock Connect

    By Editors | 14/04/2024

    HKEX will no longer disclose real-time buy and sell transaction amounts and total transaction volume for Northbound trading.

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    AI Risk & Governance

    CFTC Subcommittee to Advance Work on AI Regulation

    By Manesh Samtani | 12/04/2024

    MRAC subcommittee will initially focus on obtaining a better understanding of how CFTC registrants are using AI to conduct regulated activities.

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    Trading & Investment

    Shanghai Imposes Trading Limits on Gold, Copper, Crude Oil

    By Editors | 12/04/2024

    The limits on gold and copper futures contracts are being imposed in response to sharp price rallies by both metals.

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    Trading & Investment

    UK FCA Proposes to Relax Research Unbundling Rules

    By Nithya Subramanian | 12/04/2024

    The FCA will allow bundling of payments for research and trade execution, making it easier for asset managers to buy research produced outside the UK.

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    Structural Regulation

    Australia Unveils Plans to Strengthen Rules for Mergers

    By Sanday Chongo Kabange | 12/04/2024

    The reforms are expected to come into force on 1 January 2026, introducing a mandatory notification requirement for deals above certain thresholds.

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    Cryptocurrency

    US SEC Warns Crypto Firm Uniswap of Impending Lawsuit

    By Editors | 11/04/2024

    Uniswap said it received a Wells notice from the SEC focusing on whether the tokens it offers are securities, which the company denies.

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    Conduct, Culture & Accountability

    US PCAOB Penalises KPMG, Deloitte for Exam Cheating

    By Nithya Subramanian | 11/04/2024

    KPMG Netherlands was fined USD 25 million and Deloitte affiliates in Indonesia and Philippines were fined USD 2 million.

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    Cryptocurrency

    ASIC Appeals Court Ruling in ‘Finder Earn’ Crypto Case

    By Sanday Chongo Kabange | 11/04/2024

    ASIC filed an appeal due to concerns that the Finder Earn product was offered without the appropriate licence or authorisation.

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