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Market Infrastructure
Tokyo Exchange Obtains ESMA Recognition Under BMR
By Editors | 04/03/2021
A total of 192 benchmarks administered by the TSE are listed as in scope, including key benchmarks TOPIX and JPX-Nikkei Index 400, as well as their sub-indices.
Crypto / Digital Assets
IOSCO Publishes Work Programme for 2021-2022
By Editors | 28/02/2021
New priorities will be to address the risks of NBFI activities and risks exacerbated by the Covid-19 pandemic such as misconduct, fraud and operational resilience.
Big Picture
IOSCO Reviews Impact of Govt Support on Credit Ratings
By Editors | 15/02/2021
Government support measures played a “significant role” in alleviating the downward pressure on credit ratings, IOSCO found in its review.
Securities / Derivatives
SFC Sets Out Conduct Standards Expected in Capital Raisings
By Editors | 08/02/2021
The proposals establish the standards of conduct expected of intermediaries participating in bookbuilding, pricing, allocation and placing activities.
Securities / Derivatives
IOSCO Offers Guidance on Enhancing Complaint Handling Mechanisms
By Editors | 28/01/2021
IOSCO has published a new report to help jurisdictions identify and address gaps in their complaint handling and redress systems.
ESG / Sustainability
FSB Publishes Work Programme for Year Ahead
By Editors | 20/01/2021
The work programme includes initiatives to strengthen NBFI resilience, enhance cross border payments, and address climate change, among other priorities.
Securities / Derivatives
India: IFSCA Becomes IOSCO Associate Member
By Editors | 06/01/2021
The IFSCA was established in April 2020 as a unified authority to regulate all financial services in Gift City, India’s international financial services centre.
Enforcement
IOSCO Issues Guidance on Addressing Misconduct During Stress Events
By Editors | 31/12/2020
Extreme price volatility, profitability pressures, psychological stressors, remote working and aggressive advertising were some of the drivers of misconduct risk during the pandemic.
Securities / Derivatives
IOSCO Seeks Views from Market Participants on ETF Market
By Editors | 30/12/2020
IOSCO asks asset managers, liquidity providers and market-makers to help it obtain a more granular understanding of ETFs.
Crypto / Digital Assets
IOSCO Offers Guidance on Educating Investors on Crypto Asset Risk
By Editors | 29/12/2020
The report identifies the possible risks to retail investors in crypto-assets and describes how regulators can help inform them about these risks.
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