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Conduct, Culture & Accountability
Australia, HK Suffer Lack of Trust in Financial Services – Report
By Manesh Samtani | 27/04/2018
CFA Institute survey finds as little as 31% of investors in Australia and 35% in Hong Kong trust the financial services industry.
Cybersecurity
SEBI Proposes Biometric Authentication for Mobile App Stock Trading
By Garima Chitkara | 26/04/2018
Indian securities regulator is consulting the industry on potential guidelines for finger print and iris-scan authentication for stock trading through mobile apps, in a bid to protect the capital markets against cyberattacks.
Capital Adequacy
Asia to Miss Key 2018, 2019 Basel III Deadlines – BIS report
By Garima Chitkara | 26/04/2018
Most Asian jurisdictions are behind on implementing counterparty credit risk measures, capital for CCP exposures as well as TLAC, IRRBB and LEX requirements.
KYC & CDD
RBI Updates KYC Guidance to Include Aadhar, Taxpayer Numbers
By Editors | 25/04/2018
Accounts opened without new documentary requirements will have severe restrictions in place including a INR50,000 maximum balance and monitoring to prevent foreign transactions.
Credit Risk
RBI Urges Lenders to Monitor Borrowers for Early Signs of Stress
By Editors | 24/04/2018
Central bank deputy governor says banks see non-payment as “on par” despite loan resolution framework; poor credit culture must change.
Structural Regulation
SEBI Releases New Guidelines for RTAs, Corporate issuers
By Garima Chitkara | 23/04/2018
New guidelines strengthen risk management, documentation and communication norms for RTAs (registrar and share transfer agents).
Trading & Investment
SEBI to Reduce Debt Issuance Timeline to Six Days
By Garima Chitkara | 23/04/2018
SEBI looking to bring down time to issue debt securities from 12 to six days by mandating the online mechanism for blocking application funds for subscription of debt securities.
Structural Regulation
India Sets Floor for Foreign Investment into Unregulated Financial Entities
By Garima Chitkara | 19/04/2018
Minimum foreign investment into fund-based services by unregulated entities to be set at $20 million; $2 million for non-fund based services.
Trading & Investment
SEBI Requires Physical Settlement of Equity Derivatives
By Garima Chitkara | 19/04/2018
Regulator issues enhanced eligibility criteria for equities to enter the derivatives segment, physical settlement for derivatives not meeting criteria.
Trading & Investment
India Raises FPI Investment Limits for Govt, Corporate Debt
By Editors | 17/04/2018
Investment limits raised almost 10% effective 12 April, with additional increases set for October.
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