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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
QFII, RQFII Quota Removal Unlikely to Trigger Big Inflows
By AsianInvestor | 14/05/2020
China has scrapped the quota of its two leading inbound investment programmes, but the move appears unlikely to give its onshore capital markets a shot in the arm.
Custody & Infrastructure
China to Allow Foreign Banks’ Local Branches Fund Custody Licence
By Editors | 12/05/2020
Under the trade agreement with the US in January, China committed to allowing branches of US financial institutions to provide fund custody services in the country within five months.
Trading & Investment
CBIRC Green-lights China Pacific Insurance GDR Listing on LSE
By Editors | 11/05/2020
The listing is still pending approvals from securities regulators in China and the UK, and exchange operators in Shanghai and London.
Emerging Prudential Risks
UK Regulators Defer Majority of Regulatory Initiatives
By Editors | 11/05/2020
Incoming Basel requirements and margin rules will be deferred. The transition away from LIBOR will continue as planned. Work is still underway to prepare for Brexit.
Market Abuse
SGX RegCo to Scrap Minimum Trading Price Rule from 1 June
By Editors | 11/05/2020
The MTP rule is described as a “blunt tool” for addressing risk of market manipulation, compared to more effective tools that target such manipulation directly.
Trading & Investment
FSC Korea Mulls Issuance Limits for Equity-linked Securities
By Editors | 11/05/2020
Driven by demand from retail investors for higher yields, some securities firms have been selling ELS products beyond their equity capital.
Structural Regulation
Hong Kong: Investors Seek Compensation for Failed IPOs – Report
By Editors | 11/05/2020
The SFC has issued almost HK$1bn in penalties for IPO sponsor failures over 20 years. These proceeds have gone to the government, not investors.
Structural Regulation
ESMA Approves Four Trade Repositories for SFTR Reporting
By Editors | 10/05/2020
DTCC, UnaVista, KDPW and REGIS-TR will have their TR registrations for derivatives contracts under EMIR extended to include securities financing transactions under SFTR.
Structural Regulation
Japan’s New Foreign Investment Rules Take Effect
By Manesh Samtani | 10/05/2020
While a series of exemptions for foreign financial institutions have been granted, the new requirements only allow 30 days for full implementation on 7 June.
Structural Regulation
Australia Defers All Royal Commission Commitments by Six Months
By Editors | 09/05/2020
In line with the Treasury’s announcement, ASIC has deferred mortgage broker reforms and the introduction of product design and distribution obligations.
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