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Structural Regulation
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.
Supervision & Enforcement
Germany’s BaFin to Be Reorganised, Top Officials Forced Out
By Editors | 31/01/2021
Finance minister Olaf Scholz said the Wirecard affair revealed a need to reorganise Germany’s system of financial regulation “so that it can fulfil its supervisory role more effectively”.
Market Data & Technology
ANNA Announces Expansion of ISIN-to-LEI Mapping Initiative
By Editors | 16/12/2020
The linking of ISINs and LEIs effectively links issuers to the issuance of securities, thereby improving transparency and aiding risk and exposure management.
Anti-Money Laundering
Philippine Authorities Probe Financial Transactions Linked to Wirecard
By Sanday Chongo Kabange | 11/11/2020
The National Bureau of Investigation is examining the financial transactions of a law firm office that appears to have provided legal services to Wirecard and Jan Marsalek.
Structural Regulation
The AIFMD Review: Potential Impacts for Asia Pacific
By Arthur Carabia | 10/11/2020
While some of the proposals could be harmful to market participants, the review presents an opportunity to clarify certain elements of AIFMD, says ICMA’s Arthur Carabia.
Supervision & Enforcement
BaFin, FREP Were Deficient in Supervising Wirecard, says ESMA
By Editors | 04/11/2020
ESMA says it identified deficiencies, inefficiencies and legal and procedural impediments in the supervisory response to Wirecard between 2016 and 2018.
Structural Regulation
HKIFA Warns Against Changing UCITS Delegation Model – Report
By Editors | 15/10/2020
HKIFA chief Sally Wong reportedly said a move to restrict the delegation model could prompt capital to flow away from the European fund industry.
Clearing & Post-Trade
China’s DCE, ZCE Assessed as Post-trade Transparency Positive
By Editors | 08/10/2020
The positive assessments relieve EU investment firms from the obligation to make DCE and ZCE transactions post-trade transparent via an APA.
Structural Regulation
Why APAC Should Care About the EU’s AIFMD Review
By Tony Freeman | 02/09/2020
Though prompted by Brexit, the proposed review of the AIFMD legislation will also have implications for buy-side firms operating in Asia, says industry veteran Tony Freeman.
Clearing & Post-Trade
ESMA Postpones CSDR’s Settlement Discipline Regime
By Editors | 31/08/2020
The regime was initially due to come into force from September 2020 before it was deferred to February 2021. The new effective date is 1 February 2022.
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