Structural Regulation

Conduct, Culture & Accountability

Super Funds that Fail Performance Test Must Improve Communications

By Editors | 13/04/2023

ASIC reviewed the performance communications of four super funds that failed APRA’s annual performance test for the second time last year.

Payments & Settlements

Goldman to Offer Treasury Services to Japan Corporates

By Editors | 13/04/2023

Japan will be the first country in Asia where Goldman will offer transaction banking. The service is already offered in the US, UK, Germany and Netherlands.

Trading & Investment

Malaysia to Launch Capital Market Graduate Programme

By Editors | 13/04/2023

The programme aims to improve the knowledge and employability of 9,000 university graduates to address a deficit of skilled talent in the capital market.

Structural Regulation

SFC Fines Ninety One HK Unit for Unlicensed Futures Dealing

By Editors | 12/04/2023

Ninety One did not have a Type 2 (dealing in futures contracts) licence, believing it could rely on SFO exemptions to deal in futures contracts.

Trading & Investment

SEBI Issues Framework to Improve IPO Price Band Discovery

By Editors | 12/04/2023

Stock exchanges will have to compute a common equilibrium price for IPO listings if their call auctions result in equilibrium prices that are too far apart.

Structural Regulation

FSC Korea Tightens Regulations on Bank Closures

By Editors | 11/04/2023

The changes are intended to better protect consumers from sudden decisions by lenders to wind down operations, as seen in the case of Citibank Korea in late 2021.

Alternative Markets

SEBI Mandates Direct Plan, Trail Fee Model for AIFs

By Editors | 11/04/2023

SEBI said AIFs should ensure onboard investors who approach them through a SEBI-registered intermediary are onboarded via direct plan.

Alternative Markets

FSC Korea Unveils Policy Measures to Bolster Startup Ecosystem

By Editors | 11/04/2023

The measures aim to address the challenges startups and venture capital firms face amid a slump in investment sentiment.

Structural Regulation

First Mainboard Stocks List in China Under New IPO System

By Editors | 11/04/2023

At a listing ceremony on Monday, CSRC chairman Yi Huiman said the reforms mean regulators “no longer pass judgment” on a firm’s investability or value.