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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
ASIC Consults on Barriers to Good Quality Affordable Personal Advice
By Sanday Chongo Kabange | 18/11/2020
ASIC is looking to better understand the barriers to providing good quality and affordable advice and help the industry provide such advice more broadly.
Conduct, Culture & Accountability
FMA Proposes New Guidance on Financial Product Advertising
By Sanday Chongo Kabange | 18/11/2020
The guidance sets out the FMA’s expectations of what good conduct in the advertising of offers of financial products looks like.
Structural Regulation
Thailand to Stop Issuing THBFIX Loans, Debt from July 2021
By Editors | 17/11/2020
All financial institutions will stop offering new loans and debt securities which reference THBFIX from 1 July 2021, Bank of Thailand says.
Market Data & Technology
ASIC Flags Concerns Over Further Infrastructure Issues at ASX
By Editors | 17/11/2020
Following a near-full day market closure, data issues prevented ASX from displaying Chi-X bids and offers on its Centre Point matching system.
Structural Regulation
SFC Plans to Issue Code of Conduct for Investment Banks – Report
By Editors | 16/11/2020
The SFC is reportedly seeking to frame a detailed code of conduct for capital raisings that will cover how investment banks calculate their fees.
Trading & Investment
Hong Kong MPFA Adds SSE, SZSE, IDX to Approved List
By Editors | 16/11/2020
The move provides MPF fund managers greater flexibility, allowing them to diversify investment risks and channel more assets into A shares.
Trading & Investment
ASX Suffers Near Full Day Outage Due to ‘Software Issue’
By Editors | 16/11/2020
ASIC said it was focused on ensuring that market integrity is not compromised and that it would monitor for any impacts resulting from Monday’s failure.
Structural Regulation
SEC Thailand to Cut Redundant Regulations, Red Tape by 2022
By Editors | 15/11/2020
The ‘regulatory guillotine’ project will reduce documentary requirements by almost 2 million sheets per year and processing time by about 102,000 hours per year.
Structural Regulation
CSRC Pledges to Improve Listed Company Governance, Supervision
By Sanday Chongo Kabange | 15/11/2020
A targeted campaign will be launched to improve supervisory oversight in the capital market and enhance corporate governance in listed companies.
PEPs & Sanctions
US Investors Barred from Buying Stocks Linked to Chinese Military
By Manesh Samtani | 15/11/2020
Index providers will likely be forced to remove companies like China Mobile and China Telecom from key benchmarks by 11 January.
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