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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
CSRC Proposes to Update Rules for Securities Firms
By Manesh Samtani | 06/04/2023
The rules focus on risk prevention and internal governance, and now also cover underwriting, sponsorship, market making and OTC business activities.
Conduct, Culture & Accountability
SEBI Issues New Advertising Rules for Advisers, Analysts
By Editors | 06/04/2023
SEBI’s new rules seek to curb misleading investment advertisements and address the use of unregistered brand names, trade names and logos.
Structural Regulation
Malaysia Issues 2nd Consultation on New Consumer Credit Act
By Editors | 06/04/2023
The new consultation paper covers licensing, financial, governance and conduct requirements for unregulated credit services including BNPL providers.
Cryptocurrency
UPDATED – Binance Faces Added Regulatory Pressures Amid CFTC Charges
By Editors | 05/04/2023
Dubai’s VARA is asking Binance for more information. ASIC is meanwhile reviewing Binance’s Australia derivatives business and has cancelled its licence.
Structural Regulation
Industry Bodies Say EU BMR Presents ‘Cliff-edge Risks’
By Editors | 05/04/2023
Industry bodies say only benchmarks designated as systemically important should be in scope of BMR for mandatory compliance.
Structural Regulation
Australia Proposes Revised Tax Model for Superannuation
By Editors | 05/04/2023
The proposed model will increase the tax rate for earnings from superannuation balances that exceed A$3mn.
Structural Regulation
Korea Finalises Reforms to Introduce Mandatory English Disclosures
By Editors | 04/04/2023
KOSPI-listed firms with KRW 10 trillion in assets will be required to disclose material information in English from 2024. Firms with KRW 2 trillion in assets must do the same from 2026.
Clearing & Post-Trade
Industry Asks ASIC to Lengthen SOFR OIS Implementation Period
By Sanday Chongo Kabange | 04/04/2023
ISDA and AFMA responded to an ASIC proposal to remove OIS contracts referencing USD LIBOR from derivatives clearing requirements and replace them with those referencing SOFR.
PEPs & Sanctions
US State-Level Sanctions Imposed on Foreign Adversaries
By Mark Johnston | 04/04/2023
More than a dozen US states already restrict or prohibit foreign ownership of and investments in private agricultural land.
Structural Regulation
ACCC Undecided About Authorising ANZ-Suncorp Merger
By Editors | 04/04/2023
The ACCC is calling for further submissions from industry and consumers on how the proposed acquisition may impact competition.
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