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Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
Conduct, Culture & Accountability
AFCA to Provide Clarity on New Compensation Scheme
By Editors | 23/10/2021
AFCA says it will help to provide clarity on the treatment of complaints about losses arising from financial products and financial advice.
Alternative Markets
New Rules for PE Funds Take Effect in South Korea
By Sanday Chongo Kabange | 23/10/2021
The revised rules improve investor protection and subject private equity funds to increased monitoring and external audits.
Structural Regulation
AFMA Calls for Removal of ‘LIBOR Cap’ Imposed on Foreign Banks
By Editors | 22/10/2021
AFMA is concerned that the LIBOR Cap will be replaced with a capping mechanism to be determined solely by the ATO.
Structural Regulation
CSRC to Pilot Arbitration System for Capital Market Disputes
By Darien Choong | 22/10/2021
Arbitration courts in Beijing, Shanghai and Shenzhen will help to facilitate the resolution of disputes in the securities and futures market.
Structural Regulation
MAS Proposes to Improve Fairness of Appeals Process
By Manesh Samtani | 21/10/2021
Proposed changes to the Appeals Regulations would allow appellants to review MAS’ reasons for a decision before filing their petition for appeal.
Trading & Investment
Thai SEC Consults on Three-tiered Investments by Funds
By Pongnut Thanaboonchai | 21/10/2021
The SEC is consulting on whether to allow mutual funds to make three-tiered investments in funds under the same company’s management.
Trading & Investment
ISLA Publishes Clause Library, Taxonomy for Securities Lending
By Editors | 21/10/2021
ISLA collated clauses and variants used with master agreements and identified how firms configure and add to the standard provisions to create a set of common clauses.
Credit Risk
PBOC Says Evergrande Risks ‘Controllable’, as Risks Spill Over
By Manesh Samtani | 20/10/2021
While PBOC officials are framing the Evergrande crisis as an isolated situation, problems in the property sector have broader implications for banks and investor confidence.
Structural Regulation
New Beijing Stock Exchange Prepares for Launch
By Darien Choong | 20/10/2021
More than 100 market participants participated in a second round of tests. The new exchange is expected to start trading as early as this month.
Conduct, Culture & Accountability
Australian Court Fines Colonial First State for Misleading Members
By Editors | 19/10/2021
The court said Colonial First State Investments engaged in a 26-month “concerted campaign” that sought to take advantage of members.
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