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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
Industry Body Urges ASIC to Reconsider Reference Checking Model
By Sanday Chongo Kabange | 23/11/2020
The Stockbrokers and Financial Advisers Association urges ASIC to look at the central register model used in the US, which treats advisers more fairly.
Structural Regulation
CSRC Seeks ‘Meaningful Dialogue’ with PCAOB on Audit Issues
By Editors | 23/11/2020
“We believe that with openness and professionalism, the two sides will certainly reach a consensus on a joint inspection scheme,” the CSRC said.
Structural Regulation
Thailand SEC to Remove Hardcopy Document Requirement for Takeovers
By Sanday Chongo Kabange | 23/11/2020
Under the SEC’s proposal, investors who make a tender offer for all the securities of a business will no longer have to submit hardcopy documents in the tendering process.
Trading & Investment
SEBI Directs Directs NSE to Triple Investor Protection Fund
By Editors | 23/11/2020
SEBI says it will review the adequacy of NSE’s investor protection fund on a half-yearly basis and that incremental contributions will be made “if required”.
Emerging Prudential Risks
SGX RegCo Mulls Measures to Address Concentration Risk in REITs
By Manesh Samtani | 22/11/2020
SGX RegCo chief Tan Boon Gin spoke about concentration risk, the enforceability of security deposits overseas, and director independence at REIT managers.
Structural Regulation
FSC Korea Set to Implement Financial Benchmark Act
By Editors | 22/11/2020
The FSC has enacted an enforcement decree setting out the requirements for benchmark administrators, contributors and users.
Conduct, Culture & Accountability
ASIC Orders Fund Manager to Stop Misleading Radio Advertising
By Editors | 22/11/2020
The stop order prohibits Skyring Funds Management from comparing its fixed income fund to bank-issued deposit products in advertising.
Structural Regulation
MAS Finalises New Rules for Insurers Managing Par Funds
By Editors | 22/11/2020
New requirements on how insurers offering participating insurance policies can charge expenses to Par funds will take effect on 1 January 2021.
Structural Regulation
Industry Bodies Call For Delay to EU Third-country Benchmarks Regime
By Editors | 22/11/2020
ISDA and 13 other associations say they believe an extension of the transitional period for third-country benchmarks under BMR is urgently needed.
Structural Regulation
LIBOR Transition Work Needs to Accelerate in Early 2021: FSB
By Manesh Samtani | 21/11/2020
In a progress report on global transition efforts, the FSB highlights slower progress in loan markets, which it says must be addressed urgently.
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