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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
SFC Sets Out Conduct Standards Expected in Capital Raisings
By Editors | 08/02/2021
The proposals establish the standards of conduct expected of intermediaries participating in bookbuilding, pricing, allocation and placing activities.
KYC & CDD
Foreign Banks Penalised in Taiwan for Facilitating FX Speculation
By Editors | 08/02/2021
Deutsche Bank is permanently banned from trading TWD deliverable and non-deliverable forwards. ING, ANZ and Citi received lesser punishments.
Structural Regulation
Toss Bank Applies for Digital Bank Operating Licence in Korea
By Editors | 08/02/2021
Toss Bank was awarded a preliminary licence to operate an internet-only bank in December 2019. It plans to launch operations in mid-2021.
Structural Regulation
CSRC Approves Merger of Shenzhen’s Main and SME Boards
By Editors | 07/02/2021
The move will simplify the structure of the Shenzhen bourse and help it to better meet the financing needs of enterprises at different stages of development.
Conduct, Culture & Accountability
CBIRC Asks Insurance Groups to Improve Governance Mechanisms
By Editors | 07/02/2021
The CBIRC released the results of its first evaluation of corporate governance of insurance groups. None of the 10 participating groups top marks.
Structural Regulation
CBIRC Evaluates Corporate Governance at Non-bank Institutions
By Editors | 07/02/2021
Some financial leasing, enterprise group finance, auto finance, and consumer finance companies have been unwilling or unable to enhance governance and internal controls.
Structural Regulation
Greater Bay Regulators Sign MoU on Wealth Management Connect
By Manesh Samtani | 07/02/2021
The regulators agree to issue guidance to banks on product due diligence, investor protection, AML/CFT requirements and personal data protection, among other areas.
Trading & Investment
UPDATED – HKEX to Acquire Stake in Guangzhou Futures Exchange
By Editors | 07/02/2021
The move, being the first-ever equity investment in a mainland futures exchange by a non-mainland investor, will help HKEX promote green and low-carbon markets across the region.
Structural Regulation
CBIRC Issues Draft Guidelines on Corporate Governance
By Editors | 05/02/2021
The guidelines formalise obligations for banks and insurers to integrate Communist Party leadership in the governance of state-owned and private banks and insurers.
Structural Regulation
LINE Bank Taiwan Granted Digital Bank Operating Licence
By Editors | 04/02/2021
LINE Bank could launch trial operations as soon as mid-March, with a view to launching full operations within the first half of the year.
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