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Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
Clearing & Post-Trade
HKMA, SFC to Add Calculation Periods to Clearing Rules
By Editors | 03/04/2022
The HKMA and SFC also proposed to add Nomura Financial Products Europe GmbH to the FSP List under the OTC derivatives clearing regime.
Structural Regulation
SEBI Approves Enhancements to CIS Rules
By Editors | 03/04/2022
The amendments will require CIS managers and certain designated employees to invest in the CIS they manage, and limit investment in other CIS managers.
Clearing & Post-Trade
Japan, EU Enhance Framework on Regulatory Cooperation
By Mark Johnston | 02/04/2022
The adoption of the regulatory cooperation framework follows the signing of an amended MoC by Japan’s FSA and ESMA.
Conduct, Culture & Accountability
SFC Sets Out Expectations on Complaints Handling Processes
By Editors | 01/04/2022
LCs should set a 7-day timeline for acknowledging receipt of complaints and a 2-month timeline for providing a final response to the complainant.
Cloud & Infrastructure
APRA Sets Out Roadmap for Full Transition to APRA Connect
By Editors | 01/04/2022
APRA says it will receive all data collections through APRA Connect by 2027, and regulated entities should prepare by exploring automation opportunities.
Market Data & Technology
ISDA Publishes New Paper on Digital Regulatory Reporting
By Editors | 01/04/2022
DRR will allow for consistent rule interpretation, more streamlined and automated reporting, and fewer data quality issues, ISDA says.
Structural Regulation
US SEC Proposes Enhanced Protections for SPAC Investors
By Editors | 31/03/2022
The proposal aims to provide SPAC investors additional disclosures and protections similar to those they would receive in an IPO.
Trading & Investment
SEBI Proposes to Shorten Timelines for Open Offers, Buybacks
By Editors | 31/03/2022
The proposed changes include a shorter time period during which an open offer or buyback offer can remain open, from 10 days to 5 days.
Conduct, Culture & Accountability
ASIC Finalises New Complaints Data Reporting Framework
By Editors | 31/03/2022
Under the framework, 11 large financial firms will be required to report internal dispute resolution data to ASIC for the first time by 28 February 2023.
Structural Regulation
MAS Publishes New Compliance Toolkit for CMS Licensees
By Editors | 31/03/2022
The toolkit is applicable to CMS licensees that deal in capital markets products, advise on corporate finance, or provide product financing, custodial services or credit rating services.
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