All posts tagged "Investor Protection"
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530FeatureBursa Malaysia Revamps Rules for Derivatives Market Participants
The updated rules allow non-face-to-face onboarding, remove voice logging for client orders, and introduce higher governance standards, among others.
August 15, 2019 -
890Big PictureIOSCO Publishes Recommendations on Sustainable Finance
The report identifies the prerequisites for creating an ecosystem that facilitates sustainable finance, and sets out 10 recommendations for growth and emerging markets.
June 8, 2019 -
625EnforcementSGX RegCo Eyes Greater Enforcement, Whistleblower Protection
Senior officials at an SGX RegCo symposium said the regulator will take a more active role in protecting investor interests through greater enforcement action and whistleblower protection.
June 4, 2019 -
762Fintech / RegtechFSB Issues Report to G20 on Crypto-Asset Regulation
Forward-looking risk assessments are needed in crypto-asset markets to identify trends that may give rise to financial stability and other risks and assess their potential significance early on.
June 4, 2019 -
403Fintech / RegtechKoscom to Open Robo-Advisory Testbed from 3 June
Robo-advisory services will have to undergo testing and verification before they can be used to directly manage funds and entrusted assets under new enabling FSC regulations.
May 17, 2019 -
453EnforcementUPDATED – NSE Ordered to Pay Disgorgement in Co-Location Case
NSE will also be prohibited from issuing an IPO and launching new derivatives products for six months. Two former managing directors also found to be guilty.
May 1, 2019 -
757ChinaChina to Amend Securities Law This Year
China plans to amend its securities law within this year, with an aim to strengthening investor protection and enforcement against violators.
April 22, 2019 -
605AML / KYCJapan FSA Proposes Stronger Regulation for Crypto Assets
In a bill to amend the law, the FSA proposes the introduction of stronger protections for investors and restrictions to prevent misconduct in the crypto sector.
April 13, 2019 -
412Uncategorised
Behavioural Insights Can Help Regulators Protect Investors – IOSCO
The report provides guidance to help regulators better understand the behaviour of retail investors in making financial investment decisions to aid in policy development.
April 3, 2019 -
796Big Picture
S. Korea FSC Unveils 2019 Financial Policy Roadmap
Highlights will include measures to accelerate financial innovation, approve online-only banks, launch a regulatory sandbox, and strengthen consumer and investor protection.
March 8, 2019
