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Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
Conduct, Culture & Accountability
ASIC Wins Appeal in Westpac Super Switching Case
By Editors | 29/10/2019
The ruling could limit the ability of financial services firms to market and cross-sell investment products using the ‘general advice’ allowance under the law.
Conduct, Culture & Accountability
ASIC Imposes Additional Licence Conditions on IOOF
By Editors | 29/10/2019
ASIC granted a licence variation requested by IOOF’s investment services unit, but has decided to also impose additional licence conditions.
Structural Regulation
Trade Woes Prompt Easing of China’s Forex Rules
By Editors | 28/10/2019
SAFE will ease controls on equity investment from non-investment foreign firms, among 12 measures to help draw overseas funds into the domestic market and facilitate cross-border trade.
Structural Regulation
CSRC to Boost Competitiveness of NEEQ, ChiNext Markets
By Editors | 28/10/2019
The CSRC is speeding up its reform efforts for the NEEQ and ChiNext markets to ensure their competitiveness, and inclusiveness to small and innovative firms.
Structural Regulation
New Zealand Delays Start of New Licensing Regime
By Editors | 27/10/2019
The start date is being delayed to coincide with the date new regulations needed for transitional licensing take effect.
Structural Regulation
BOT Solicits Comments on Draft ‘Thailand FX Code’
By Editors | 27/10/2019
The BOT invites wholesale FX market participants to comment on a draft ‘Thailand FX Code’ by 25 November.
Conduct, Culture & Accountability
ACCC Mortgage Pricing Inquiry to Extend Beyond Mortgage Pricing
By Editors | 24/10/2019
ACCC chairman Rod Sims reportedly told a parliamentary hearing that bundling products such as credit cards and insurance would form part of the agency’s inquiry.
Structural Regulation
CBIRC Tightens Oversight on Structured Deposits Sold by Banks
By Editors | 24/10/2019
Banks can only offer structured deposit products if they have derivatives trading licences, and they must ensure the sales process is done in a “legally compliant manner”.
Trading & Investment
SEBI Allows Stock Exchange Listings of Commercial Paper
By Editors | 23/10/2019
SEBI says issuers have shown an interest in listing their commercial paper on stock exchanges to capture broader investor participation.
Structural Regulation
China Eases Rules on Backdoor Listings for Some Firms
By Editors | 23/10/2019
Assets in high tech and strategically important emerging sectors that “conform to the national strategy” can be used to restructure ChiNext companies, the CSRC says.
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