Structural Regulation

Structural Regulation

Haymarket Enters into Strategic Partnership to Further Develop Regulation Asia

By Editors | 29/11/2019

Through this partnership, both firms can look to strengthen their editorial expertise with the goal of providing their respective audiences with deeper coverage on critical issues.

Market Abuse

SGX RegCo Proposes Removal of Minimum Trading Price Rule

By Editors | 29/11/2019

SGX RegCo is proposing to scrap the MTP rule in light of its suite of other measures to deal with market manipulation, including the pairing of trading restrictions with ‘Trade with Caution’ alerts.

Conduct, Culture & Accountability

CFTC Fines Goldman $1mn for Three Weeks of Missing Phone Records

By Editors | 28/11/2019

Goldman’s phone recording hardware failed in January 2014 an went undetected for three weeks, thereby impeding an unrelated CFTC investigation.

Conduct, Culture & Accountability

Korea Progresses Financial Consumer Protection Bill

By Editors | 28/11/2019

The bill, approved by the national policy committee, contains six sales regulations to be applied to all financial products and establishes a legal basis for penalising firms in violation.

Trading & Investment

SGX Enhances Securities Borrowing and Lending Programme

By Editors | 28/11/2019

Effective from 2 December, new variable rates will make it more attractive for institutional investors to borrow securities, increasing the opportunity for securities holders to generate income.

Trading & Investment

Indian Exchanges Issue New Framework for Listing Commercial Paper

By Editors | 28/11/2019

The listing framework for commercial papers will lead to more transparency, a better disclosure regime and greater investor protection.

Conduct, Culture & Accountability

ASIC to Take ‘Facilitative Approach’ to FASEA Code Compliance

By Editors | 27/11/2019

ASIC has clarified its expectations of AFS licensees and financial advisers for compliance with the FASEA code starting from 1 January.

Structural Regulation

Australia Opens Consultation for Retirement Income Review

By Editors | 27/11/2019

The consultation paper outlined the areas a review panel will assess to understand the adequacy, fairness, sustainability and cohesiveness of the three pillars of Australia’s retirement income system.

Conduct, Culture & Accountability

SGX RegCo Rewards Good Governance with ‘Fast Track’ List

By Editors | 26/11/2019

SGX RegCo has named 95 companies that will receive prioritised responses on selected corporate action submissions for maintaining high standards of governance, compliance and reporting quality.