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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.
Conduct, Culture & Accountability
Australia MFAA Supports AFCA Proposal to Enhance Complaints Resolution
By Editors | 21/06/2023
MFAA said AFCA’s proposal will enhance the efficiency of its complaint processes and will make the scheme fairer for all participants.
DeFi & Web3
French Regulator Calls for Global Approach to DeFi Regulation
By Editors | 21/06/2023
The AMF seeks a “balanced regulatory framework that will help support the sound development of decentralised finance in the long run”.
Structural Regulation
SEBI Mandates Simplified Stock Market Access for Clients
By Mark Johnston | 21/06/2023
Brokers are mandated to offer clients access to all active stock exchanges they are registered with by default.
Structural Regulation
SEBI Directs Online Bond Platforms to Stop Offering Prohibited Products
By Ranamita Chakraborty | 21/06/2023
SEBI has observed that some online bond platform providers are offering clients access to unlisted bonds and other unregulated products.
Trading & Investment
SFC Grants Securities Licence to Virtual Bank for the First Time
By Editors | 21/06/2023
With the new licence, Mox Bank will start piloting Hong Kong and US equity trading services in the HKMA sandbox “soon”.
Trading & Investment
Malaysia Announces Measures to Boost Capital Market Vibrancy
By Editors | 20/06/2023
The stamp duty rate payable on stock trades is being reduced by a third to lower the cost of transactions, especially for retail investors.
Conduct, Culture & Accountability
SFC Fines Taiping Securities Employee Dealing Control Failures
By Editors | 19/06/2023
Responsible officer had 293 transactions that exceeded the trading limit prescribed for his personal account.
Conduct, Culture & Accountability
UK FCA Imposes Restrictions on Odey Asset Management
By Mark Johnston | 19/06/2023
The restrictions are intended to facilitate an orderly breakup of Odey Asset Management, after its founder was accused of sexual misconduct.
Payments & Settlements
RBNZ Considers Expanding Access to Settlement Accounts
By Sanday Chongo Kabange | 19/06/2023
The RBNZ is seeking feedback on a framework to assess the risks of opening up access to the Exchange Settlement Account System.
Structural Regulation
SEBI to Require Top Listed Entities to Respond to Market Rumours
By Ranamita Chakraborty | 19/06/2023
The requirement will apply to the top 100 listed entities from 1 October 2023, and to the top 250 listed entities from 1 April 2024.
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