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Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
Supervision & Enforcement
Australia Consults on Enforcement Powers for Client Money Rules
By Editors | 19/04/2018
Draft law provides ASIC with wider range of tools to enforce better protections for client money held for OTC derivatives.
Structural Regulation
India Sets Floor for Foreign Investment into Unregulated Financial Entities
By Garima Chitkara | 19/04/2018
Minimum foreign investment into fund-based services by unregulated entities to be set at $20 million; $2 million for non-fund based services.
Trading & Investment
SEBI Requires Physical Settlement of Equity Derivatives
By Garima Chitkara | 19/04/2018
Regulator issues enhanced eligibility criteria for equities to enter the derivatives segment, physical settlement for derivatives not meeting criteria.
Structural Regulation
GFMA Publishes Market Transparency Guidelines
By Editors | 19/04/2018
Trend towards market transparency across structurally different markets and jurisdictions highlights need for shared global principles.
Trading & Investment
India Raises FPI Investment Limits for Govt, Corporate Debt
By Editors | 17/04/2018
Investment limits raised almost 10% effective 12 April, with additional increases set for October.
Structural Regulation
Australia to Review Lack of Competition in Banking Sector
By Editors | 16/04/2018
The ACCC will examine a potential oligopolistic structure in Australia’s banking sector and review competitive practices that have allegedly led to higher barriers to entry for newcomers.
Trading & Investment
China to Revive QDII Scheme for Outbound Investment
By Editors | 15/04/2018
SAFE has invited financial institutions to seek new quotas under the scheme; institutions’ total QDII quota to be capped at 8 percent of fund assets, will not be allowed to apply for fresh quotas if under 70 percent of existing allocations are used up.
Structural Regulation
PBOC Confirms Financial Sector ‘Opening up’ Plans
By Samuel Riding | 14/04/2018
Governor Yi Gang confirms there will eventually be no limits on foreign ownership of financial institutions; quadruples Stock Connect quotas.
Trading & Investment
Samsung Securities Dividend Error Prompts Industry Wide Probe
By Manesh Samtani | 12/04/2018
The firm mistakenly paid out dividends worth 33 times its market cap; FSS will inspect how unauthorised ‘ghost stocks’ were sold by employees.
Market Data & Technology
CPMI-IOSCO Issues Technical Guidance on OTC Derivatives Data
By Manesh Samtani | 12/04/2018
Guidance excludes UTI and UPI standards, includes parameters for how data should be reported rather than specific regulatory requirements.
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