Structural Regulation

    Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.

    Structural Regulation

    ABS Releases Enhanced Listings Due Diligence Guidelines

    By Editors | 13/11/2020

    The new guidelines emphasise the need for issue managers and full sponsors to “exhibit a healthy dose of professional scepticism” when conducting listings due diligence.

    Trading & Investment

    FSC Korea Confirms Plan to Lift Short Selling Ban in March

    By Editors | 12/11/2020

    The lifting of the ban will apply to all stocks regardless of the market cap, despite an earlier proposal to keep it in place for small-cap stocks.

    Trading & Investment

    HKEX Chief Outlines Ongoing Market Development Initiatives

    By Manesh Samtani | 12/11/2020

    HKEX Chief Charles Li hinted at the possibility that Stock Connect could be extended to the primary market, and expanded to include derivatives.

    Trading & Investment

    Malaysia SC Proposes Changes Guidelines on Unit Trust Funds

    By Shruti Khairnar | 12/11/2020

    The SC is consulting on changes as part of ongoing efforts to strengthen market competitiveness and develop the Malaysian funds industry.

    Structural Regulation

    ASIC Amends Proposed Intervention Order for Continuing Credit Contracts

    By Editors | 12/11/2020

    The changes to the product intervention order proposed in July are to address unintended consequences identified in an earlier consultation.

    Structural Regulation

    NZX Confirms 10 December Go-Live Date for NZ RegCo Model

    By Editors | 11/11/2020

    The model will structurally separate NZX’s commercial and regulatory interests, similar to the approach adopted in Singapore, Japan and Brazil.

    Structural Regulation

    China Consults on Anti Monopoly Rules for E-commerce, Payments

    By Editors | 11/11/2020

    The new rules issued by China’s SAMR prohibit a range of monopolistic practices and are expected to impact internet giants Alibaba, JD.com, Tencent, and Meituan, among others.

    Structural Regulation

    China Launches First New Domestic Securities Firm in Ten Years

    By Editors | 11/11/2020

    The company was set up to take over the securities-related assets of CEFC Shanghai Securities, whose licenses were revoked last year.

    Conduct, Culture & Accountability

    New Zealand FSC Publishes Disclosure Guide for Financial Advice Regime

    By Sanday Chongo Kabange | 10/11/2020

    The ‘Disclosure Guide’ will help advisors comply with the changes to disclosure requirements under the new financial advice regime which comes into force on 15 March 2021.

    Structural Regulation

    The AIFMD Review: Potential Impacts for Asia Pacific

    By Arthur Carabia | 10/11/2020

    While some of the proposals could be harmful to market participants, the review presents an opportunity to clarify certain elements of AIFMD, says ICMA’s Arthur Carabia.

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