Structural Regulation

Conduct, Culture & Accountability

TWSE Launches Investor Stewardship Principles

By Samuel Riding | 08/07/2016

Guidelines for institutional investors represent shift in focus from regulation, enforcement to market mechanisms.

Structural Regulation

SSE Says to Implement CPC, CSRC Requirements

By Samuel Riding | 08/07/2016

Shenzhen exchange says to enhance governance structure and standardise management.

Structural Regulation

SEBI to Strengthen Supervision of Bond Rating Agencies

By Samuel Riding | 08/07/2016

Board member Rajeev Kumar Agarwal says to also simplify FPI procedures, crack down on ‘black money’.

Structural Regulation

ASIC Warns on Unlicensed OTC

By Samuel Riding | 07/07/2016

Securities regulator has contacted 40 unlicensed operators, 21 have taken remedial measures.

Conduct, Culture & Accountability

Major Japanese Banks to Disclose Sales Commissions

By Samuel Riding | 07/07/2016

Banks receive more than 3 times more commission on insurance than on mutual funds.

Structural Regulation

Korea to Ease Internet-only Bank Rules

By Samuel Riding | 07/07/2016

FSC proposes to revise banking laws, allow IT firms to have controlling stakes.

Trading & Investment

HKEx to Introduce Closing Auction Session

By Samuel Riding | 04/07/2016

Closing auction to be reintroduced third quarter to bring HKEx back in line with global peers.

Structural Regulation

Let the Games Begin

By Peter Guy | 04/07/2016

Regulation reform must painfully follow political twists and turns amid fight to reposition EU ahead of UK.

Market Abuse

CSRC Tightens IPO Scrutiny

By Samuel Riding | 03/07/2016

Securities regulator initiates inspection campaign, cites series of problems.