Structural Regulation

Structural Regulation

SFC Mandates Online Submission of Licensee Documentation

By Samuel Riding | 30/11/2016

Paper filing by individual applicants and licensees will not be allowed from 1 February 2017.

Conduct, Culture & Accountability

HK to Introduce Key Manager Regime

By Samuel Riding | 30/11/2016

Registration set to include ‘hundreds of executives in support functions’.

Structural Regulation

Sri Lanka Wins ADB Loan to Help Develop Regulatory Framework

By Samuel Riding | 29/11/2016

Loan will enable implementation of development Capital Market Development Program.

Structural Regulation

HK Regulators to Brief on OTC Derivatives Reporting

By Samuel Riding | 29/11/2016

Sessions aim to brief firms on their obligations before 1 July 2017 implementation.

Trading & Investment

SZ-HK Stock Connect to Start 5 December

By Samuel Riding | 28/11/2016

Accompanying rules aim to curb cross-border illegal activity, market misconduct.

Structural Regulation

Philippines to Start Thailand, Indonesia Banking Integration Talks

By Samuel Riding | 25/11/2016

Agreement would allow countries’ banks to operate subsidiaries in each other’s markets.

Emerging Prudential Risks

IMF, CSRC Boost Technical Cooperation

By Samuel Riding | 25/11/2016

MOU includes agreements on market supervision, preventing systemic risk.

Structural Regulation

HK Regulator to Tighten Asset Manager Rules

By Samuel Riding | 24/11/2016

Proposals aim to align HK with international standards; protect investors and market integrity.

Structural Regulation

New Zealand Finalises Crowdfunding, P2P Reporting Rules

By Samuel Riding | 23/11/2016

‘Regulatory returns’ are designed to help supeversion under Financial Markets Conduct Act.