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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
Australia Proposes to Enshrine Superannuation Objective in Law
By Editors | 21/02/2023
The Treasury says legislating an objective will provide stability and confidence that policy changes will be aligned with the purpose of the superannuation system.
Clearing & Post-Trade
French, German Banks Get More Time to Solve India CCP Issue
By Mark Johnston | 21/02/2023
French and German regulators will give banks 18 extra months to find new ways to settle India trades, following ESMA decision to de-recognise Indian CCPs.
Structural Regulation
Financial Firms Must Keep Better Accounting Records: NZ FMA
By Editors | 21/02/2023
The guidance is designed to help financial service providers address “emerging and persistent issues” in financial reporting, the FMA said.
Structural Regulation
CSRC Issues New Rules for Overseas IPOs by Mainland Firms
By Editors | 20/02/2023
The rules allow companies to choose an overseas listing destination for their IPOs, but require them to first register the intention with the CSRC, which will vet the applications.
Market Data & Technology
Industry Bodies Open Common Domain Model on FINOS Platform
By Editors | 20/02/2023
The open-source CDM is now fully integrated into the FINOS project landscape, which will open up opportunities for open collaboration between market participants.
Structural Regulation
China Implements Registration-based IPO System on Main Markets
By Editors | 19/02/2023
The new system simplifies the process for companies seeking to raise funds through mainboard listings on the Shanghai and Shenzhen stock exchanges.
Structural Regulation
Taiwan: Jih Sun and Fubon Units Receive Merger Approval
By Editors | 19/02/2023
The securities and futures firms’ mergers are the result of a merger between the two firms’ financial holding companies, which completed last November.
Clearing & Post-Trade
US SEC, CFTC Penalise OCC Over Internal Rule Violation
By Editors | 19/02/2023
As a result of certain deficiencies, the Options Clearing Corp’s clearing fund was “underfunded” at various times between October 2019 and May 2021.
Market Data & Technology
China Trials Platform for Investors to Check Fund Holdings
By Editors | 17/02/2023
A “Fund E Account” platform will provide a “one-stop” service for individual investors to query information about all their holdings in public funds.
Structural Regulation
Australia Proposals to Regulate BNPL Gains Widespread Support
By Editors | 17/02/2023
AFCA has received more than 3,300 complaints against BNPL providers since 2018. ASIC supports regulating BNPL under the National Credit Act.
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