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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.
Structural Regulation
SIFMA Backs Lawsuit Against SEC Over CAT Funding Model
By Mark Johnston | 19/02/2024
SIFMA and others say the SEC has unlawfully imposed “massive costs” on broker-dealers and investors by adopting a revised CAT funding model.
Trading & Investment
Japan to Allow Mutual Funds to Invest in Unlisted Shares
By Mark Johnston | 19/02/2024
The move will allow retail investors to buy into early stage startups, which will also gain access to more funding prior to an IPO.
Structural Regulation
MAS Issues Additional Guidance for New Derivatives Reporting Regime
By Manesh Samtani | 16/02/2024
New FAQs are provided to support implementation of the new OTC derivatives reporting regime, which comes into force in October.
Structural Regulation
SEBI Proposes Registration Requirement for PMS Distributors
By Ajoy K Das | 16/02/2024
The proposal is in line with the mutual fund industry where distributors are required to be registered with AMFI.
Payments & Settlements
India, Nepal Ink Pact to Integrate Fast Payments Systems
By Ajoy K Das | 16/02/2024
The RBI has agreed to interlink the UPI with its counterpart in Nepal to enable instant and lower cost cross-border remittances.
Structural Regulation
Australia FSC Calls for Threshold Change in ‘Sophisticated Investor’ Test
By Editors | 16/02/2024
The Financial Services Council warns that if the threshold is left unchanged, more than 20% of households would lose important retail investor protections by 2033.
Structural Regulation
ASIC Proposes Further Changes to OTC Derivatives Reporting Rules
By Manesh Samtani | 16/02/2024
Among other things, the changes will simplify the exchange-traded derivatives exclusion and the scope of foreign entity reporting, as well as remove “alternative reporting”.
Structural Regulation
Asset Managers Moving India Funds to GIFT City – Report
By Ajoy K Das | 14/02/2024
Eight of the ten largest Indian asset managers have either relocated or are planning to relocate to GIFT City.
Structural Regulation
S Korea: DGB Daegu Bank Applies to Convert Banking Licence
By Editors | 14/02/2024
If approved, Daegu Bank will be the first to take advantage of a recent regulatory amendment that expedites the process of converting a regional bank to a commercial bank.
Conduct, Culture & Accountability
Major Japan Insurers Directed to Divest ‘Strategic Shareholdings’
By Editors | 14/02/2024
The FSA suspects that the competitive environment may have been distorted by the practice of insurers’ holding shares in client companies.
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