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Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
Data Privacy
Uncovering the Terms and Conditions for Technology
By Max Kantelia | 27/08/2019
Legislators and industry leaders need to work together to ensure the benefits of innovation do not come at the cost of fairness, choice, and privacy, says Zilliqa co-founder Max Kantelia.
Conduct, Culture & Accountability
ASIC Allows AFCA to Name-and-Shame Financial Firms
By Editors | 27/08/2019
ASIC says the move will enhance transparency and accountability of firms’ performance in complaints handling, and of AFCA’s own decision-making.
Conduct, Culture & Accountability
Australia to Introduce Best Interests Duty for Mortgage Brokers
By Editors | 27/08/2019
Under draft legislation released by the government, mortgage brokers that fail to act in the best interests of consumers will face fines of up to A$1.05mn.
Conduct, Culture & Accountability
BNM Raises Culture Bar for Development Financial Institutions
By Editors | 26/08/2019
DFIs should firmly ground their business models on strong governance and a culture of professional management, said BNM governor Nor Shamsiah Yunus.
Structural Regulation
CSRC to Allow Listed Companies to IPO Spinoff Units
By Editors | 26/08/2019
Under draft rules, parent companies must meet certain conditions to list spinoff units, including requirements to have been listed, and profitable, for at least the last three years.
Structural Regulation
EU Shareholder Rights Directive – It’s Time for APAC Firms to Act
By Demi Derem | 26/08/2019
Though a European regulation, SRD II will directly impact Asian intermediaries and hundreds of billions of euros in assets held by APAC investors, says Demi Derem at Broadridge.
Structural Regulation
SEBI Eases Requirements for FPI Registration
By Editors | 23/08/2019
SEBI has consolidated 57 circulars and 183 FAQs issued over the years into a single circular for FPIs, easing several requirements in the process.
Trading & Investment
ASIC Proposes Ban on Binary Options, Restrictions on CFDs
By Editors | 23/08/2019
In 2018, licensed binary options and CFD issuers made about $2bn from these products, largely attributed to retail client losses, fees and costs.
Credit Risk
SEBI to Force Borrowers to Disclose Defaults to CRAs
By Editors | 23/08/2019
The move follows a spate of defaults in India where credit rating agencies were blamed for being unable to flag potential credit risks.
Structural Regulation
SZSE ChiNext Board to Adopt Registration Based IPO System
By Editors | 22/08/2019
Shenzhen’s ChiNext board has begun work to prepare for adoption of a registration-based IPO system, currently in use at Shanghai’s new tech board.
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