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Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
Alternative Markets
SFC Identifies Best Practices for Alternative Liquidity Pools
By Editors | 10/04/2018
ALP operator guidelines should include third-party order routing and information about prioritisation for orders simultaneously posted to exchanges; all ALP users should be qualified investors.
Structural Regulation
ASEAN ‘Close’ to Financial Services Free Trade Agreement
By Samuel Riding | 09/04/2018
Statement says deal on trade in services close to agreement, ASEAN members to also update wider agreement on cross-border services this year.
Trading & Investment
MiFID II Could Kill Quality Investment Research
By Peter Guy | 09/04/2018
If almost all communications between sales-traders and clients is classified as “research”, severe distortions will hit the economics of quality investment insights.
Structural Regulation
Bursa Malaysia Enhances Collective Investment Rules
By Editors | 07/04/2018
Unit holder protections, corporate governance, disclosure quality to be enhanced; applicable to REITs, ETFs, closed-end funds.
Trading & Investment
IOSCO Issues Corporate Bond Transparency Recommendations
By Editors | 07/04/2018
Better access to information will aid regulator functions, enhance cross-border information sharing, enable better informed investment decisions, boost market liquidity.
Structural Regulation
ASIC Updates Client Money Guidance as New Restrictions Take Effect
By Editors | 06/04/2018
Licensees may not use OTC derivative client money for own obligations, working capital; new reporting requirements to increase transparency on client money use.
Emerging Prudential Risks
China Launches Crackdown on Unlicensed Online Asset Managers
By Editors | 05/04/2018
Chinese authorities step up focus on the online asset management industry to clean up unlicensed firms.
Alternative Markets
Foreign Hedge Funds Regain Access to Chinese Investors
By Editors | 04/04/2018
FT reports a revival of QDLP programme, allowing wealthier Chinese to invest in foreign-focused private equity and hedge funds.
Structural Regulation
Japan Exchange Group to Sell SGX Stake Over Three Years
By Editors | 03/04/2018
JPX to sell stake due to governance code requirements to explain strategic holdings, but says cooperation will continue.
Structural Regulation
CSRC Flexes Muscles with Internal Control, Market Integrity Rules
By Samuel Riding | 02/04/2018
Securities regulator, which remains independent after recent reshuffle, tightens rules on investment bank internal controls, securities and futures market participation.
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