Mondo Visione Worldwide Financial Markets Intelligence

FTSE Mondo Visione Exchanges Index:

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  • Shanghai Stock Exchange Improves Supporting Rules Of Registration-based Issuance System For Corporate Bonds

    Date 22/04/2022

    With the approval of the China Securities Regulatory Commission (CSRC), the Shanghai Stock Exchange (SSE) issued today 4 sets of rules on bond business, namely, the SSE Rules of Issuance and Listing Review for Corporate Bonds, the SSE Rules for Listing of Corporate Bonds, the SSE Rules for Listing of Non-publicly Offered Corporate Bonds, and the SSE Measures for Investor Suitability Management on the Bond Market. Upon the issuance of the rules, the SSE’s bond market has basically formed a complete and independent system of rules covering all business lines such as issuance and listing review, underwriting, listing, trading operation, and investor protection. In addition, the significant reduction in the number of the business rules and the concise and user-friendly structure of the rules facilitates the market participants’ reference and use on demand.

  • UK Financial Conduct Authority Review Finds Weaknesses In Some Challenger Banks’ Financial Crime Controls

    Date 22/04/2022

    A review by the FCA has found that challenger banks need to improve how they assess financial crime risk, with some failing to adequately check their customers’ income and occupation. In some instances, challenger banks did not have financial crime risk assessments in place for their customers.

  • Hong Kong Securities And Futures Commission: Amendments To The REIT Code In Relation To Bookbuilding And Placing Activities

    Date 22/04/2022

    The Securities and Futures Commission (SFC) today issued a circular setting out consequential amendments to the Code on Real Estate Investment Trusts (REIT Code) which dovetail with changes to the Code of Conduct (Note 1) in relation to bookbuilding, pricing, allocation and placing activities (Note 2). The changes are part of regulatory enhancements to clarify the roles of intermediaries and set out the standards expected of them in these activities.

  • Westpac Penalised $113 Million After Multiple ASIC Legal Actions

    Date 22/04/2022

    The Federal Court has ordered Westpac to pay penalties in the amount of $113 million for widespread compliance failures across multiple businesses, including Westpac’s banking, superannuation, wealth management and insurance brands.

  • Zhengzhou Commodity Exchange: Notice On Night Trading Session During 2022 Labor Day Holiday

    Date 22/04/2022

    According to Notice on Trading Schedule during National Holidays for Year 2022, the Exchange hereby clarifies night trading session arrangement during 2022 Labor Day holiday as follows: