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Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
Structural Regulation
Malaysia to Allow Circuit Breaker to Revert to Original Parameters
By Editors | 10/05/2021
The decision reflects the improving economic outlook, the roll-out of the vaccination programme, and the normalisation of global market conditions.
Conduct, Culture & Accountability
Australian Proxy Voting Reforms Under Fire
By ESG Investor | 10/05/2021
ISS says Australian Treasury consultation “premised on a misguided notion”, argues against five-day comment period for companies.
Trading & Investment
Hong Kong Launches Grant Scheme to Lure OFCs, REITs
By Editors | 10/05/2021
OFCs and REITs that set up in Hong Kong can secure funding to cover 70% of eligible expenses paid to Hong Kong-based service providers.
Trading & Investment
China to Launch Crude Oil Options, Open to Foreign Investors
By Editors | 09/05/2021
Shanghai INE is seeking feedback on a new crude oil options contract that will be open to foreign investors. Trading simulations will run for two weeks.
Conduct, Culture & Accountability
MAS Issues Revised Corporate Governance Guidelines for FIs
By Manesh Samtani | 09/05/2021
The guidelines provide good practices that financial institutions should observe in relation to their corporate governance and remuneration frameworks.
Conduct, Culture & Accountability
Australia to Require Debt Management Firms to Be Licensed
By Editors | 09/05/2021
Firms providing debt management services need to apply to ASIC for a credit licence and become a member of AFCA by 30 June 2021.
Trading & Investment
Chinese Regulators Issues Draft Rules for Wealth Connect Scheme
By Manesh Samtani | 09/05/2021
A 150bn yuan ceiling is proposed as the trading quota for the new scheme, with a 1mn yuan individual limit. A launch date has not yet been set.
Trading & Investment
ARRC Identifies Indicators for Recommending SOFR-based Term Rate
By Editors | 09/05/2021
The ARRC has published guidance on the indicators it will use to measure the progress needed to recommend a SOFR-based term rate.
Structural Regulation
CSRC Consults on ‘Counselling’ Obligations of IPO Sponsors
By Editors | 09/05/2021
The rules impose obligations on sponsors to ensure that directors, supervisors, senior managers, and major shareholders of IPO applicants understand their listing obligations.
Operational Risk
IOSCO Finds Gaps in BCP Rules for Trading Venues, Intermediaries
By Manesh Samtani | 07/05/2021
Some jurisdictions have regulatory requirements for critical systems of trading venues that do not extend to outsourced functions.
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