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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.
KYC & CDD
HK-based Certizen Technology Becomes LEI Validation Agent
By Editors | 26/03/2024
Certizen Technology’s new status will help to ease and streamline LEI issuance, allow LEI data elements to be embedded in digital certificates, and help promote cross-border trade.
Conduct, Culture & Accountability
CSRC Conducts Surprise Inspections of Fund Companies – Reports
By Mark Johnston | 25/03/2024
State media says it is not uncommon for regulators to conduct irregular inspections of fund companies, especially to promote good governance.
Structural Regulation
HKMA, SFC Planning Sept 2025 Rollout of New Derivatives Reporting Regime
By Manesh Samtani | 25/03/2024
HKMA and SFC propose to adopt a ‘big bang’ approach to implementation, rolling out the UTI, UPI, CDE and ISO 20022 requirements on 29 September 2025.
Structural Regulation
Kiwibank is Best Placed to Disrupt NZ Banking Oligopoly
By Ranamita Chakraborty | 25/03/2024
New Zealand’s Commerce Commission says Kiwibank is the best placed among the non-big-four banks to be a “disruptive competitor”.
Structural Regulation
China Unveils 24-point Action Plan to Boost Foreign Investment
By Mark Johnston | 23/03/2024
Measures include expanded access to bank card clearing, commercial pension, health insurance, bond underwriting, treasury bond futures, and private equity business.
Conduct, Culture & Accountability
China Launches New Complaints Handling Platform
By Editors | 22/03/2024
The platform will help improve efficiency, enhance service quality, and standardise complaints management processes at banks and insurers.
Structural Regulation
EU, China Hold Inaugural Meeting of New Working Group
By Mark Johnston | 22/03/2024
Regulators from both sides discussed AML, supervisory cooperation, sustainable finance, capital markets, cross-border data transfers, payments, and CCP equivalence.
Structural Regulation
US SEC Facing Industry Lawsuit Over Dealer Rule
By Editors | 22/03/2024
AIMA and others say the SEC does not have statutory authority to change the definition of “dealer” and did not take into account economic consequences when adopting the rule.
Structural Regulation
SEBI Relaxes Additional Disclosure Requirements for FPIs
By Ajoy K Das | 22/03/2024
FPIs with over 50% of their Indian equity AUM in a corporate group will be exempted from the additional disclosures, subject to conditions.
Cryptocurrency
US SEC Seeking Information About Ethereum Foundation – Reports
By Editors | 22/03/2024
The SEC has issued subpoenas to companies asking about their dealings with the foundation, purportedly in relation to the possible classification of Ethereum as a security.
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