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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
Some APAC Regulators Not Fully Operationally Independent: IOSCO
By Editors | 17/02/2023
Government officials in Singapore, Japan, Hong Kong, Australia and India have some ability to direct or influence securities regulators’ day-to-day operations.
Conduct, Culture & Accountability
Court Issues Australia’s Largest Ever Fine for Disclosure Failures
By Editors | 17/02/2023
Former ASX-listed GetSwift was ordered to pay A$15mn. Three former directors were also penalised.
Market Data & Technology
CFTC to Require UPIs in Swaps Reporting Starting Jan 2024
By Editors | 17/02/2023
UPIs issued by the DSB will be required in reporting credit, equity, foreign exchange, and interest rate swaps from 24 Jan 2024.
Market Data & Technology
Bursa Malaysia Launches Low Latency Connectivity Solution
By Editors | 17/02/2023
International market participants can access Bursa Malaysia’s data feed via more than 900 data centres in 32 countries.
Conduct, Culture & Accountability
SEBI Proposes Stronger Protections for Mutual Fund Investors
By Sanday Chongo Kabange | 16/02/2023
Consultation paper sets out the core responsibilities of mutual fund trustees and proposes to make the boards of AMCs more accountable.
Structural Regulation
ACCC Launches Inquiry into Bank Rate-Setting Practices
By Editors | 16/02/2023
The ACCC said banks have in most cases “fully passed” through interest rate hikes to their home loan rates, but less so to interest rates on deposit products.
Structural Regulation
NZ FMA Finalises New Reporting Requirements for Advisers
By Editors | 16/02/2023
The FMA said the first regulatory returns will be due by 30 September 2024, for the 12-month period ending 30 June.
Custody & Infrastructure
US SEC Proposes to Tighten Custody Rules Including for Crypto
By Editors | 15/02/2023
The proposed change is expected to make it more difficult for asset managers to invest in crypto assets on behalf of clients.
Clearing & Post-Trade
ASIC to Modify Scope of Clearing Derivatives Obligation
By Editors | 15/02/2023
ASIC proposes to replace products referencing USD LIBOR with OIS contracts referencing SOFR, and to remove AUD forward rate agreements.
Trading & Investment
US Listings of Chinese Companies Start to Resume
By Manesh Samtani | 15/02/2023
Three Chinese companies have launched US IPOs so far this year, following a year-and-a-half stand-off between Chinese and US regulators.
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