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Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
Structural Regulation
Twenty Suspended Firms Face Permanent Delisting in Hong Kong
By Editors | 30/07/2019
Of the 22 firms that were already suspended last August when new rules took effect, only two have so far been given the green light for their shares to resume trading.
Structural Regulation
Hong Kong Cracks Down on Backdoor Listings, Shell Activities
By Editors | 28/07/2019
Effective from 1 October, new rules from HKEX will prohibit large disposals of businesses or assets by listed companies for three years following a change in control.
Structural Regulation
New Zealand Implements Asia Region Funds Passport
By Editors | 28/07/2019
New Zealand joins Australia, Japan and Thailand in having implemented the legal and regulatory requirements to enable the Asia Region Funds Passport.
Structural Regulation
UPDATED – ASIC to Review Active ETF Rules on Market Making
By Editors | 26/07/2019
ASIC has asked market operators not to admit any managed funds that do not disclose their portfolio holdings daily and have internal market makers, while it undertakes a review of its regulatory settings.
Conduct, Culture & Accountability
FMA to Open Applications for New Adviser Licences in November
By Editors | 26/07/2019
Announced last month, the new licensing regime will require financial advisers to operate under a new transitional licence from June 2020.
Trading & Investment
Taiwan to Launch Intraday Odd-lot Trading in H2 2020
By Editors | 26/07/2019
Currently, odd-lot trading is only permitted after-hours. Allowing intraday odd-lots trades is expected to boost retail stock market participation and increase daily turnover.
Structural Regulation
Hong Kong Names Eddie Yue as New HKMA Chief
By Manesh Samtani | 26/07/2019
Yue is the “person best suited for this position”, said Hong Kong’s Financial Secretary Paul Chan announcing the appointment on Thursday.
Structural Regulation
CBIRC Issues New Rules to Raise Transparency on Bank Ownership
By Editors | 26/07/2019
By end-June 2020, all banks must provide the complete and accurate register of their shareholders to custodian institutions who will manage the register moving forward.
Clearing & Post-Trade
NSE Clearing Retains Dominance as Interoperability Kicks In – Report
By Editors | 25/07/2019
Trading members and custodians have largely selected NSE Clearing over ICCL to settle trades in the equity cash segment following the introduction of clearing corporation interoperability.
Trading & Investment
China Hands IPO Bans to 139 Funds on STAR Market Violations
By Editors | 25/07/2019
The funds were handed bans of 6 and 12 months for making IPO applications for shares on Shanghai’s new tech board that exceeded the size of their investments.
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