All posts tagged "training"
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758Australia & NZASIC Penalises Credit Suisse for Breaching Trading Rules
Credit Suisse did not match client orders for on-market buy-backs on an order book as is required by ASIC's market integrity rules.
July 6, 2020 -
1.7KFintech / RegtechFMSB Issues Statement of Good Practice on Algo Trading
The FICC Markets Standards Board sets out 10 Good Practice Statements for market participants and venue operators engaged in algorithmic trading in a new transparency draft.
June 25, 2020 -
531Australia & NZAustralia Allows Advisers More Time to Meet Exam Requirement
Advisers would have had until the end of this year to complete the new Financial Adviser Standards and Ethics Authority exam. A newly-passed bill allows an extra year to do so.
June 18, 2020 -
679Australia & NZNAB to Lift Industry Standards with Bank-Wide Education Programme
The programme, to be launched in partnership with FINSIA, will be rolled out for all of NAB's Australia and New Zealand bankers and support staff.
June 12, 2020 -
743Securities & TradingTaiwanese, Russian CSDs to Cooperate on Capital Markets
The TDCC and NSD have agreed to support constructive dialogue and cooperation in areas such as electronic voting, fintech and information services, among other areas.
June 9, 2020 -
1.3KAsia-PacificThailand to Launch Digital Platform for Capital Markets Licensing
The 'Prof Link' platform will include licence information for over 80,000 capital markets professionals, incorporating professional development and training.
June 5, 2020 -
767FeatureBOJ, FSA Direct Financial Firms to Take Action on LIBOR Transition
FIs are asked to take specific actions to prepare for the cessation of LIBOR, and to submit materials allowing the BOJ and FSA to review preparedness at individual firms.
June 2, 2020 -
620MalaysiaSC Malaysia Grants Regulatory Flexibilities to Market Participants
The deadlines for market participants to comply with regulatory requirements relating to submissions and training requirements have been extended.
March 23, 2020 -
1.2KHong KongHong Kong Bourse Publishes Updated ESG Reporting Guidance
The additional guidance follows a December decision to make certain ESG disclosures mandatory, effective for financial years commencing on or after 1 July 2020.
March 8, 2020 -
411Australia & NZASIC to Take ‘Facilitative Approach’ to FASEA Code Compliance
ASIC has clarified its expectations of AFS licensees and financial advisers for compliance with the FASEA code starting from 1 January.
November 28, 2019
