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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 Launches Depository Receipt Pilot
By Editors | 31/03/2018
Overseas-listed tech firms with market cap over 200 billion yuan can issue CDRs; unlisted firms valued over 20 billion yuan to be considered for domestic listings.
Structural Regulation
Australia Introduces Funds Passport Legislation
By Editors | 29/03/2018
Implementation of Asia Region Funds Passport to be complemented by a new corporate structure vehicle to export to investors in Asia.
Structural Regulation
Hong Kong Issues LEI, Platform Trading Consultation for OTC Derivatives
By Samuel Riding | 29/03/2018
Paper says adopting LEIs should be mandatory for most market participants within six months of consultation conclusions being published.
Conduct, Culture & Accountability
IPO Sponsors Still Deficient, says SFC
By Editors | 27/03/2018
Thematic review details deficiencies in standards of conduct, due diligence practices and internal systems and controls.
Trading & Investment
China Launches Crude Oil Futures
By Manesh Samtani | 27/03/2018
Foreign investors allowed to participate in China’s futures market for the first time; foreign currencies to be used for margin deposits to facilitate foreign participation.
Conduct, Culture & Accountability
S.Korea to Introduce Mandatory Governance Disclosures
By Garima Chitkara | 26/03/2018
Large listed banks will be required to disclose corporate governance and internal controls starting 2019 based on norms to be released by FSC and KRX.
Conduct, Culture & Accountability
SSE Re-stocks Disciplinary Arsenal
By Editors | 26/03/2018
New documents give Shanghai exchange greater powers over trading members and investors.
Structural Regulation
Guo Shuqing to Head China Super Regulator
By Samuel Riding | 26/03/2018
Senior party official will take responsibility for merged banking, insurance regulator, as predicted by Regulation Asia last February.
Structural Regulation
Taiwan Drafts Rules for Internet Only Banks
By Editors | 25/03/2018
FSC may authorise Japan’s Line Corp and Rakuten to operate as full-service banks in Taiwan.
Conduct, Culture & Accountability
SFC Fines UBS Securities for Missing Client Consent Records
By Editors | 23/03/2018
The firm was only able to provide the regulator about half of the client consents for facilitation trades.
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