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

    UK, NZ Sign Pact to Mutually Recognise Auditor Qualifications

    By Sanday Chongo Kabange | 29/09/2023

    The New Zealand FMA and UK’s FRC have agreed on mutual recognition of the professional qualifications of auditors.

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    Trading & Investment

    India Considers Allowing Trading in Fractional Shares – Report

    By Mark Johnston | 29/09/2023

    Fractional shares could simplify investing for India’s retail investors and help address the market entry challenges they currently face.

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    Structural Regulation

    HKEX Allows Saudi Companies to Apply for Secondary Listings in Hong Kong

    By Editors | 29/09/2023

    Companies with a primary listing on the Saudi Exchange’s Main Market can apply for a secondary listing in Hong Kong.

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    Structural Regulation

    HSBC to Acquire Citi Consumer Business in China – Report

    By Editors | 29/09/2023

    HSBC will reportedly acquire Citigroup’s China consumer wealth management business in a deal that could be announced as early as next month.

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    Conduct, Culture & Accountability

    Citigroup Fined for Violating Disclosure Obligations Under Reg BI

    By Editors | 29/09/2023

    Citi defaulted about 360,000 accounts to receive disclosures electronically without receiving proper consent from the customers.

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    Trading & Investment

    Regulators Announce Planned Enhancements for Wealth Connect

    By Editors | 29/09/2023

    The eligibility, product range, investment and sales limits will be enhanced, and securities firms will be allowed to participate.

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    Cryptocurrency

    WFE Issues Recommendations for Regulating Crypto Trading Platforms

    By Editors | 28/09/2023

    The six key principles will safeguard markets and enable the crypto sector to grow, said Nandini Sukumar, CEO of the World Federation of Exchanges.

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    Structural Regulation

    Philippine SEC Eases Disclosure Rules for Public Offerings

    By Mark Johnston | 28/09/2023

    The “streamlined procedures” are part of the SEC’s efforts to encourage more companies to tap the capital markets.

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    Structural Regulation

    Korea to Open Access to Interbank FX Market Next Month

    By Manesh Samtani | 28/09/2023

    Foreign financial institutions without a branch in Korea will be able to trade in the domestic FX market through local forex brokers.

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    Structural Regulation

    BOT Draws Lessons on Virtual Banks from Korea

    By Editors | 27/09/2023

    FSC vice chairman Kim So-young said Korean firms should try to obtain licences under Thailand’s virtual banks framework, which will be finalised in H2 2023,

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