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Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
Clearing & Post-Trade
CHESS Replacement ‘Critical’ to Manage Systemic Risk: RBA
By Editors | 01/10/2020
Replacing CHESS with more modern technology is critical to ASX’s ongoing management of systemic risk, said RBA assistant governor Michele Bullock.
Trading & Investment
SONIA Quoting Conventions to be Adopted in UK Swaps Market
By Editors | 01/10/2020
Interdealer brokers should base quotes in the sterling swaps market on SONIA rather than LIBOR from 27 October, the FCA and BOE say.
Structural Regulation
Two More Virtual Banks Launch in Hong Kong
By Manesh Samtani | 01/10/2020
Ant Bank and Ping An OneConnect Bank launched virtual banks in Hong Kong. Fusion Bank is the only virtual bank that has not yet commenced operations.
Conduct, Culture & Accountability
SFC Sets Minimum Period for Client Access to Trade Documents
By Editors | 01/10/2020
Intermediaries have one year to align the minimum online retrieval period of their posted trade documents with the new requirements.
Conduct, Culture & Accountability
Japan FSA Demands Explanation for Miscounted Shareholder Votes
By Editors | 30/09/2020
Sumitomo Mitsui Trust and Mizuho Trust could face business improvement orders, depending on their explanations and the measures they have planned to prevent recurrence.
Structural Regulation
KRX Offers English Translation Service for Company Filings
By Sanday Chongo Kabange | 29/09/2020
KRX says its investor base will expand by allowing foreigners improved accessibility to English language disclosures of listed companies.
Trading & Investment
Singapore Extends Measures on Electronic Offer Documents
By Editors | 29/09/2020
Listed issuers and parties involved in rights issues and takeover or merger transactions can electronically disseminate offer documents for 9 more months.
Trading & Investment
SEBI Guidelines for Investment Advisers Take Effect
By Duruthu E Chandrasekera | 29/09/2020
The guidelines, finalised in July, require investment advisors to only offer either advisory or distribution services to a client, but not both.
Trading & Investment
HKEX Launches Five New MSCI Futures Contracts
By Editors | 29/09/2020
The bourse operator also plans to launch an MSCI Taiwan options contract later this year, subject to regulatory approvals and market conditions.
Supervision & Enforcement
SFC, IA Sign New MoU on Supervisory Cooperation
By Editors | 28/09/2020
The MoU covers case referrals, joint inspections and investigations, and sharing of information pertaining to products and relevant entities or key persons.
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