Structural Regulation

Conduct, Culture & Accountability

HK Firms Appointing Juniors as Responsible Officers – SFC

By Samuel Riding | 20/01/2017

Executive director for intermediaries defends Manager-in-Charge regime.

AI Risk & Governance

The Whys and Whats of Regtech

By Nick Wakefield | 19/01/2017

Speakers at Fintech Finals discuss the rationale for regtech, and where it can be of most use.

Trading & Investment

China to Allow Foreign Firms to Launch IPOs

By Samuel Riding | 19/01/2017

Move aims to ‘further widen’ foreign financing channels.

Supervision & Enforcement

SSE to Tighten Supervision, Enforcement in 2017

By Samuel Riding | 18/01/2017

Exchange suggests 2017 will be more challenging due to market uncertainties, development.

Trading & Investment

India to Revamp Stock Trading Regulations

By Samuel Riding | 18/01/2017

Securities regulator to also tighten market scrutiny, issue new rules for exchanges, clearers and brokers.

Trading & Investment

CSRC Mulls Easing Futures Trading Rules

By Samuel Riding | 17/01/2017

New measures could include reduced margin requirement, increased trading allowance.

Trading & Investment

Philippine SEC Drafts Structured Warrant Listing Rules

By Samuel Riding | 17/01/2017

New rules will allow financial products attached with other assets to be registered and traded.

Trading & Investment

SEBI allows MFs to Invest in REITs, InvITs

By Samuel Riding | 16/01/2017

Merging of firms aims to widen public shareholdings; regulator also cuts brokerage levy.

Structural Regulation

‘Reg A+’ Answers Hong Kong’s Start-up Needs

By Peter Guy | 16/01/2017

Rather than starting a third board, HKEX should explore creative ideas for private placements.