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Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
Trading & Investment
US SEC Approves Rules to Allow Direct Listings on NYSE
By Editors | 31/08/2020
Direct listings allow private companies to raise money without going through the high IPO underwriting fees charged by investment banks.
Structural Regulation
CSRC Approves Daiwa for Majority Owned Securities Joint Venture
By Editors | 31/08/2020
Daiwa will own 51% of the securities joint venture through which it will be seeking licences to provide brokerage, investment banking, and securities underwriting services.
Trading & Investment
SGX, GF Securities to Jointly Promote Sino-Singapore Connectivity
By Editors | 31/08/2020
Under an MoU, GF Securities will promote SGX listed derivatives and securities including REITs and fixed income products to its clients.
Structural Regulation
CSRC Grants BlackRock Approval For Fully-owned Mutual Fund Unit
By Editors | 30/08/2020
The approval makes the BlackRock the first foreign financial institution to receive approval to set up a wholly-owned mutual fund unit in China.
Structural Regulation
Japan FSA to Ease Administrative Procedures for Foreign Entrants
By Editors | 30/08/2020
The FSA will soon release financial administration guidelines setting out measures that may make it easier for foreign firms to set up in Japan.
Structural Regulation
Shenzhen Bourse to Allow Dual Class Share Structures
By Editors | 30/08/2020
Lawmakers passed a rule allowing companies with dual class share structures to incorporate and list on the Shenzhen Stock Exchange, part of broader reforms to improve the market’s appeal.
Trading & Investment
Brokers Push Back Against ASIC Proposal to Limit CFD Leverage
By Editors | 30/08/2020
Foreign exchange brokers expressed concerns that the proposals are overly stringent, infringe on investor freedoms, and may result in regulatory arbitrage.
Trading & Investment
SFC, CSRC Approve Hong Kong-Mainland ETF Cross-listing
By Manesh Samtani | 28/08/2020
The new scheme follows the resumption of discussions between the SFC and CSRC in January on setting up an ETF Connect mechanism, after technical issues impeded earlier progress.
Structural Regulation
ASIC Grants Regulatory Relief for Companies Planning IPOs
By Editors | 28/08/2020
ASIC is granting relief for voluntary escrow arrangements and pre-prospectus communications to security holders and employees to reduce IPO red tape.
Trading & Investment
CSOP Launches First ETF Tracking New Hang Seng TECH Index
By Editors | 27/08/2020
Several other asset managers have submitted applications to regulators seeking to issue similar ETFs based on the new index, which tracks Hong Kong’s 30 largest tech listings.
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