Structural Regulation

Structural Regulation

ASIC Consults on Oversight of New Financial Complaints Body

By Editors | 06/03/2018

The regulator seeks feedback on whether firms need transitional relief from dispute resolution disclosure obligations in the lead up to the new body’s commencement in November.

Trading & Investment

Chinese Exchanges to List ‘Belt and Road’ Bonds

By Editors | 06/03/2018

Seven domestic and foreign companies have so far been granted approval to list Belt and Road bonds on the Shanghai and Shenzhen stock exchanges.

Conduct, Culture & Accountability

India Approves Independent Audit Oversight Body

By Editors | 05/03/2018

The new body will have powers to impose penalties or debar chartered accountants or their firms for up to ten years.

Emerging Prudential Risks

RBNZ Focused on Public Disclosure Regime

By Garima Chitkara | 03/03/2018

Reserve Bank of New Zealand is working to improve its disclosure regime to uphold three regulatory pillars: self-discipline, market discipline and regulatory discipline.

Trading & Investment

India Eases Foreign Investor Limits on Interest Rate Futures

By Editors | 02/03/2018

Aggregate long positions for all FPIs will be up to INR50 billion across any interest rate futures instrument.

Structural Regulation

Australia to Develop Fintech Code of Conduct

By Editors | 02/03/2018

The code of conduct will cover transparency and disclosure for fintech balance sheet lenders offering unsecured business loans.

Structural Regulation

Japan Mulls Overhaul of Approach to Financial Industry Regulation

By Garima Chitkara | 01/03/2018

New rules propose an approach focused on financial function rather than individual entities; and are expected bring traditional financial firms and fintech firms on level playing field.

Structural Regulation

India to Ease Capital Markets Norms for Foreign Investors

By Garima Chitkara | 01/03/2018

Government to set up single-window clearance for foreign portfolio investors and allow foreign custodians to trade on behalf of their clients without registering with SEBI.

Structural Regulation

China Levels Playing Field for Foreign Banks

By Editors | 01/03/2018

Pre-approvals no longer required for wealth management, custody services; procedures simplified for branch opening, executive appointments, bond issuance.