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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
IPO Sponsors, Underwriters Are ‘Guardians of Market Quality’: SFC
By Manesh Samtani | 22/10/2019
The SFC expects sponsors to conduct sufficient due diligence to properly understand and assess the companies seeking to be listed, and to ensure red flags are properly followed up.
Trading & Investment
ISDA Publishes Final Results of IBOR Pre-Cessation Consultation
By Manesh Samtani | 22/10/2019
The consultation did not yield a consensus among market participants regarding how to address pre-cessation issues related to a benchmark’s nonrepresentativeness.
Structural Regulation
ASIC, ESMA Sign MOU to Cooperate on Benchmarks
By Editors | 22/10/2019
The MoU sets out cooperation arrangements to complement the EU’s July equivalence decision, as well as to ensure effective information exchange and supervisory coordination.
Trading & Investment
SSE, SZSE Grant Stock Connect Access to HK Dual Class Shares
By Editors | 22/10/2019
The rule changes come over a year after the China and Hong Kong bourses started working towards including dual class shares in Stock Connect.
Structural Regulation
Korea to Lift Ban on Brokers Lending to Overseas Units
By Editors | 21/10/2019
Large brokerage firms will be allowed to extend loans to their overseas operations to better finance their global outreach.
Structural Regulation
UPDATED – Japan Cabinet Approves Tougher Foreign Investment Rules
By Editors | 21/10/2019
Japan’s proposal to lower the notification threshold for foreign investors has passed the cabinet and could become law by early April, with exemptions for foreign FIs.
Conduct, Culture & Accountability
FSC Korea to Boost Supervisory Capacity to Prevent Mis-selling
By Editors | 21/10/2019
The FSC will reportedly increase the number of banking, financial investment and asset management experts it has on staff for inspections of banks, security firms and insurers.
Structural Regulation
China Bond Market Access Schemes to Become Interoperable
By Editors | 18/10/2019
Foreign institutional investors can transfer bond holdings and funds between their QFII/RQFII and direct investment schemes starting from 15 November.
Structural Regulation
Japan to Exempt Hedge Funds from Stricter Foreign Investment Rules
By Editors | 18/10/2019
The government reportedly intends to exempt ‘portfolio investors’ from having to seek prior approval under the proposed 1% notification threshold.
Trading & Investment
Macau Submits Securities Market Proposal to Chinese Authorities
By Editors | 17/10/2019
A senior Guangdong official who reportedly helped Macau authorities prepare the proposal said he hopes the central government will approve the plan by mid-December.
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