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Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
Trading & Investment
BOT Issues First Floating Rate Bonds Based on THOR
By Editors | 25/03/2021
Investor interest was stronger than expected, with subscriptions amounting to more than four times the proposed issue size.
Structural Regulation
APRA Completes Superannuation Data Transformation Phase One
By Editors | 25/03/2021
Most of the new data will be submitted from September 2021, however trustees will be allowed to defer submission of some less critical data for one year.
Structural Regulation
IOSCO Highlights Need for Reliable Going Concern Disclosures
By Ranamita Chakraborty | 25/03/2021
Securities regulators will continue to enforce requirements to recognise, measure and disclose uncertainties about an entity’s ability to continue as a going concern.
Structural Regulation
Taiwan to See First Merger of Financial Holding Companies
By Ranamita Chakraborty | 25/03/2021
Taipei Fubon Commercial Bank will be integrated with Jih Sun International Bank, and Fubon Securities with Jih Sun Securities.
Market Abuse
CSRC Issues Revised Disclosure Rules for Listed Companies
By Editors | 25/03/2021
The new rules introduce additional safeguards against insider trading and improve the timing of disclosure of major events.
Structural Regulation
HK OTC Derivatives Licensing Regime Closer to Implementation
By Scott Carnachan | 25/03/2021
Amendments to Hong Kong’s OTC derivatives licensing regime have been introduced in LegCo. Scott Carnachan at Deacons discusses the changes.
Structural Regulation
US SEC Consults on ‘Holding Foreign Companies Accountable’ Rules
By Editors | 25/03/2021
The SEC is seeking public comments on its process for identifying companies that fail to meet the new standards, as well as submission and disclosure requirements.
Structural Regulation
Internet-only LINE Bank Commences Trial Operations in Taiwan
By Editors | 25/03/2021
Only LINE Bank employees will participate in the trial operations. Depending on the results, full operations could commence by late April.
Conduct, Culture & Accountability
SFC Fines GEO Securities for Breaching Licence Conditions
By Editors | 25/03/2021
The firm also did not have effective controls in place for product due diligence, client risk tolerance assessment, and record-keeping.
Structural Regulation
DOJ to Probe Visa Over Debit Card Routing Practices
By Ranamita Chakraborty | 24/03/2021
Visa is alleged to have engaged in anti-competitive practices by preventing merchants from routing payments through other card networks.
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