Market Infrastructure

Market Infrastructure

New Zealand to Revise Regulatory Reporting Framework

By Samuel Riding | 11/10/2016

Regulator consults on what information should be gathered from intermediaries.

Market Infrastructure

SEBI to Tighten Investment Adviser Rules

By Samuel Riding | 10/10/2016

Revisions aim to address gaps and overlapping laws and standard regulations

Market Infrastructure

India Calls Top Brokers to Account

By Samuel Riding | 07/10/2016

Show cause notices issued to brokers for alleged involvement in USD853mn spot exchange scam.

Market Infrastructure

Korea to Reform Short-Selling Rules

By Samuel Riding | 07/10/2016

Measures will aim to prevent losses due to delayed disclosure of foreign developments.

Market Infrastructure

Vietnam to Launch Combined Stock Index

By Samuel Riding | 05/10/2016

Move follows plan for derivatives market in effort to attract more foreign investment.

Market Infrastructure

Australia Tightens Key Benchmark Rules

By Samuel Riding | 05/10/2016

New regulations require registration of benchmark-setting bodies.

Capital / Liquidity

CBRC Confirms New Risk Management Rules

By Samuel Riding | 05/10/2016

Guidelines are designed to strengthen and standardise risk management of commercial banks

Market Infrastructure

ASIC Extends Relief for FFSPs

By Samuel Riding | 04/10/2016

Passporting exemptions extended for two years; regulator also consults on licensing relief.

Market Infrastructure

HKMA Issues Guidelines on Penalties for OTC Rule Breaches

By Samuel Riding | 03/10/2016

Authority says it will not automatically link fines with profit gained, loss avoided from breaches.