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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
Most Rules to Prevent Complex Product Mis-selling Already in Place
By Editors | 27/09/2019
Only China, Hong Kong, Japan and Singapore are fully consistent with all nine IOSCO principles on suitability requirements for the distribution of complex financial products.
Structural Regulation
APAC Central Banks Prepare Market for Benchmark Reforms
By Editors | 27/09/2019
A group of APAC central banks have issued a report on the regional implications of LIBOR’s discontinuation, BMR implementation, and reforms to local benchmarks.
Conduct, Culture & Accountability
HKMA Updates Rules on Sales of Banking Products
By Manesh Samtani | 27/09/2019
Banks may not sell investment, insurance and MPF products in areas that are used for deposit-taking activities, and the face-to-face sales process must be audio-recorded.
Clearing & Post-Trade
CFTC Proposals on Foreign CCPs Can be Improved: WFE
By Editors | 26/09/2019
While the WFE welcomes the CFTC proposals as a step towards reducing regulatory fragmentation, it says they can be made more risk-sensitive and better tailored to today’s markets.
Trading & Investment
Taiwan to List First Offshore Nasdaq-100 Index Futures
By Editors | 26/09/2019
Monday will mark the first time Nasdaq-100 index futures are listed outside the US, the result of a collaboration between CME Group and TAIFEX.
Structural Regulation
Small Finance Banks Rush to Meet RBI Listing Deadline
By Editors | 26/09/2019
A three-year deadline to publicly list is approaching for small finance banks that were granted in-principle licences by the RBI in September 2015.
Trading & Investment
KRX to Enable Local Access to Foreign ETF Trading
By Editors | 25/09/2019
Access will be enabled through an ‘ETF of ETF’ structure, under which locally tradeable ETFs will invest in individual foreign ETFs.
Trading & Investment
Civil Unrest Forces Brokers to Exit Hong Kong Market
By Editors | 24/09/2019
Since the Hong Kong protests began in June, ten brokerage firms have reportedly exited the market amid lower turnover and shrinking commission revenues.
Structural Regulation
HKEX Enlists Investment Banks to Help with LSEG Bid
By Editors | 24/09/2019
HKEX has reportedly brought in UBS, Credit Suisse and HSBC to help it engage with LSEG shareholders and provide advice on its recently-rejected bid to takeover the London bourse.
Trading & Investment
Philippine Insurers Permitted to Borrow, Lend Securities
By Editors | 24/09/2019
The move is aimed at helping the insurance industry to broaden their investment options, diversify their portfolios, and more actively participate in capital market development.
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