Structural Regulation

Conduct, Culture & Accountability

ASIC Raises Bar for Complaints Handling at Financial Firms

By Editors | 16/05/2019

The proposals raise internal dispute resolution standards at financial firms, and introduce mandatory data reporting to help make complaints handling performance more transparent.

Operational Risk

SC Malaysia Issues Guidelines on Business Continuity

By Editors | 15/05/2019

The Securities Commission requires each capital market entity to have business continuity management arrangements as part of ensuring systemic resiliency of the capital market.

Trading & Investment

Sri Lanka Signs Dual Bond Listing Deal with London

By Editors | 14/05/2019

Colombo’s stock exchange has signed an MoU to list domestic government bonds in London and enable LSEG to support the development of Sri Lanka’s capital markets.

Structural Regulation

US SEC Proposes Amendments to Cross-Border Swaps Rules

By Editors | 14/05/2019

The proposals address issues in applying security-based swaps rules in a cross-border context, and leave supervision of foreign trading practices and market structures to home supervisors.

Market Data & Technology

Dhaka Bourse Mulls New Data Exchange Platform

By Editors | 13/05/2019

The DSE’s ‘Financial Data Exchange Platform’ will allow regulators, market infrastructures and financial institutions to safely and efficiently exchange messages and files.

Structural Regulation

Korea to Ease Data Barriers Within Financial Services Firms

By Editors | 13/05/2019

In addition to easing information barriers within financial services firms, the FSC will also allow them to outsource their core businesses to third parties with as fintech startups.

Trading & Investment

SGX Updates Rules on Securities Trading, Market Practices

By Editors | 13/05/2019

Following an October 2017 public consultation, SGX has announced that a number of new rules on securities trading and market practices will take effect next month.

Trading & Investment

FMA, NZX Seek Public Views on Capital Markets Development Plan

By Editors | 10/05/2019

New Zealand’s Financial Markets Authority and the NZX are seeking public input on a 10 year plan to develop the nation’s capital markets.

AI Risk & Governance

SEBI Directs Mutual Funds to Report on AI, ML Use

By Editors | 10/05/2019

Mutual funds will have to report on their use of AI and ML to facilitate investing, trading, dissemination of investment strategies and advice, compliance, operations and other activities.