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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
China Regulators Share Common Message of Opening Up
By Manesh Samtani | 27/03/2019
Regulators at the three-day China Development Forum in Beijing had a common message for the market – that China plans to ramp up efforts to open up the financial sector this year.
Trading & Investment
SEBI Amends Norms on Mutual Fund Commissions, Disclosures
By Editors | 27/03/2019
SEBI has set a cap on up-fronting of trail commissions and amended disclosure rules to “protect the interests of investors.”
Trading & Investment
S. Korea to Reduce Securities Transaction Tax This Year
By Editors | 25/03/2019
The stock trading tax will be cut on the KOSDAQ, KOSPI and KONEX. Capital gains taxes on stock transactions to also be changed.
Structural Regulation
JPX-TOCOM Merger Agreement Expected by End-March
By Editors | 22/03/2019
JPX and TOCOM plan to merge this year to create an all-in-one bourse that handles both stocks and commodity futures, but challenges will remain even after a final agreement is reached.
Trading & Investment
UK FCA Fines UBS for MiFID Transaction Reporting Failures
By Editors | 22/03/2019
Over 9.5 years, UBS AG made 135.8 million errors in its transaction reporting, over a third of which involved erroneously reported transactions which were not in fact reportable.
Structural Regulation
SEBI Consults on Adoption of Dual Class Share Structures
By Editors | 22/03/2019
SEBI’s consultation paper seeks feedback on the issuance of dual class shares by companies already listed in India and those that may be in future.
Conduct, Culture & Accountability
FMSB Reports Progress in Enhancing Market Conduct Standards
By Editors | 20/03/2019
The FICC Markets Standards Board, in its 2018 annual report, highlighted key achievements to enhance standards of behaviour in wholesale FICC markets.
Sustainable Finance
ACMF Advances Efforts on Sustainable Finance, Regional Connectivity
By Editors | 20/03/2019
The ASEAN Capital Markets Forum has endorsed a roadmap for promoting sustainable investment and launched a framework for cross-border publication of research.
Conduct, Culture & Accountability
AFCA Consults on Expanded Remit to Cover Legacy Complaints
By Editors | 20/03/2019
The consultation follows the government’s recent expansion of AFCA’s remit allowing it to handle legacy complaints dating back to 1 January 2008.
Clearing & Post-Trade
UPDATED – Bank of England Grants Recognition to Indian Clearing Corporations
By Editors | 20/03/2019
The Metropolitan Clearing Corporation of India is the first Indian clearing corporation to receive recognition from under the UK’s temporary recognition regime.
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