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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
Shanghai’s New Tech Board to Commence Trading Within 2 Months
By Editors | 15/06/2019
China has held a launch ceremony for Shanghai’s new board, termed the ‘SSE STAR Market’. Trading is expected to commence within 2 months with about 30 companies.
Payments & Settlements
RBA Proposes Financial Penalties for Slow NPP Adoption
By Editors | 14/06/2019
The RBA recommends the introduction of an enforceable sanctions regime and possible financial penalties for NPP participants that do not support core capabilities within a specific period of time.
Trading & Investment
SFC Provides Additional Guidance on Sale of Complex Products
By Editors | 14/06/2019
Paragraph 5.5 of the Code of Conduct is only applicable for unsolicited purchases of complex products. Intermediaries can apply a risk-based approach to disclosures for repeat purchases.
Trading & Investment
UPDATED – Shanghai-London Connect to Start Trading 17 June
By Editors | 13/06/2019
GDRs issued by Huatai Securities will be admitted to the Shanghai-London Stock Connect segment of the LSE on 20 June, when trading will commence.
Structural Regulation
Hong Kong Proposes Insurance Connect with China
By Editors | 13/06/2019
The proposed plan will allow Hong Kong insurers to set up offices in Guangdong and Macau, part of a large integration plan for the Greater Bay Area.
Structural Regulation
Australia: Think Tank Calls for Reduced Regulatory Red Tape
By Editors | 12/06/2019
Between five Australian regulatory agencies, over 75,000 pages of regulatory materials have been published, compared to only 9500 pages of enabling legislation.
Trading & Investment
Thailand to Allow Temporary Trading in Suspended Stocks
By Editors | 12/06/2019
For a one-month period in July, temporary trading will be allowed for SET listed securities that have been suspended for three months consecutively.
Conduct, Culture & Accountability
SFC Directs Prime Brokers on Regulatory Obligations
By Manesh Samtani | 11/06/2019
If prime services are carried out in Hong Kong, prime brokers are expected to comply with Hong Kong rules and regulations regardless of where the risk positions are booked.
Trading & Investment
RBI to Roll Out Retail FX Trading Platform in August
By Editors | 10/06/2019
The new trading platform is expected to improve pricing by unifying the existing fragmented market structure.
Trading & Investment
FSB Publishes User Guide to Overnight Risk Free Rates
By Editors | 07/06/2019
The user guide provides an overview of RFRs, details on how they are calculated, and options on how they can be used in cash products.
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