Structural Regulation

    Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.

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    Conduct, Culture & Accountability

    Korea FSC Issues Guidelines on Employee Personal Trading

    By Editors | 29/01/2023

    Financial firms should strengthen their internal controls and pre-trade checks to ensure executives and employees are not using “borrowed” accounts for personal trading.

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    Market Abuse

    US SEC to Prohibit Conflicts of Interest in Securitisation Transactions

    By Editors | 27/01/2023

    The rule, first proposed in 2011 but never finalised, will prohibit firms participating in asset-backed securities from betting against investors in those securities.

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    Conduct, Culture & Accountability

    Morgan Stanley Fines Staff Over Use of Messaging Platforms

    By Editors | 27/01/2023

    The penalties ranged from several thousand dollars for some staff to more than USD 1 million for others, cut from past bonuses or future pay.

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    Structural Regulation

    ESMA, FCA Agree MoU to Support Benchmark Recognition

    By Editors | 26/01/2023

    The MoU establishes cooperation arrangements and enables ESMA to start recognising benchmarks administrators from the UK.

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    Structural Regulation

    Taiwan Fines Foxconn Over Unapproved China Investment

    By Editors | 26/01/2023

    A Foxconn subsidiary acquired a stake in China’s Tsinghua Unigroup in July last year, without seeking regulatory approval.

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    Trading & Investment

    CSRC Grants QDII Status to Morgan Stanley Unit

    By Editors | 25/01/2023

    Morgan Stanley Huaxin Fund Management is the 10th asset manager to obtain QDII status, which allows firms to invest offshore for mainland investors.

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    Conduct, Culture & Accountability

    EU Faces Industry Opposition on Proposed Commission Ban

    By Mark Johnston | 24/01/2023

    Financial industry associations say a ban on commissions paid to financial advisers for selling financial products would harm consumers.

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    Trading & Investment

    Bangladesh to Form New Market for Shariah Compliant Securities

    By Editors | 23/01/2023

    The BSEC has formed a-nine member advisory council to help develop the new Islamic capital market.

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    Trading & Investment

    Bangladesh: Chittagong Bourse Seeks to Launch FX Derivatives

    By Editors | 21/01/2023

    Currently, there are no regulations in Bangladesh allowing for the introduction of currency or other financial derivatives.

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    Payments & Settlements

    SEBI Proposes New Fund Blocking Mechanism for Securities Trades

    By Editors | 21/01/2023

    SEBI said the proposed ASBA-like mechanism for secondary markets is designed to safeguard client assets from broker misuse and defaults.

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