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Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
PEPs & Sanctions
US Investment Ban on 59 Chinese Companies Takes Effect
By Editors | 04/08/2021
US persons that have not yet divested their holdings in 59 companies that operate in the defence or surveillance technology sectors have until 3 June 2022 to do so.
Structural Regulation
Bursa Malaysia Proposes Listing Rule Changes to Enhance ACE Market
By Manesh Samtani | 03/08/2021
Sponsor eligibility requirements will be liberalised to make available a wider pool of qualified corporate finance advisers to act as sponsors for the ACE Market.
Conduct, Culture & Accountability
Hong Kong SFC Fines UBS Over Regulatory Breaches
By Editors | 03/08/2021
The breaches involve research report disclosures, telephone recordings, client derivatives knowledge assessments, and structured product sales.
Structural Regulation
Australian Fintech Regulation Has to Change
By Dirk Steller | 03/08/2021
The government has dropped the ball when it comes to supporting the Australian fintech ecosystem, says Dirk Steller, founder of VC firm Seed Space.
Structural Regulation
China, Hong Kong to Strengthen Legal, Judicial Cooperation
By Editors | 02/08/2021
China and Hong Kong will promote mutual recognition and assistance in bankruptcy procedures. Mainland judicial practice training will be arranged for Hong Kong legal professionals.
Structural Regulation
SEC Philippines Launches New Fintech Innovation Office
By Editors | 01/08/2021
The PhiliFintech Innovation Office will serve as the first point of contact for existing fintech companies and help the SEC regulate fintech activities.
Conduct, Culture & Accountability
ASIC Offers Guidance on Deferred Sales Model for Add-on Insurance
By Ranamita Chakraborty | 01/08/2021
Starting on 5 October, a four-day pause will be introduced between the sale of a principal product or service and the sale of add-on insurance.
Structural Regulation
CBIRC Grants Approval to Allianz Insurance Asset Management
By Editors | 01/08/2021
The approval will make Allianz China IMAC the first fully foreign-owned insurance asset management company on the Chinese mainland.
Custody & Infrastructure
CSRC Grants Citigroup Approval to Launch Custody Business
By Editors | 01/08/2021
The licence allows Citi to provide custody services for fund products issued by fund firms or other asset managers in China.
Structural Regulation
FMSB Finalises Standard on Use of Term SONIA
By Manesh Samtani | 31/07/2021
Use cases for Term SONIA include trade finance, working capital products, Islamic finance, export finance, and emerging markets lending.
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