The companies, products and regulatory developments shaping the broker industry.
The FSC’s 40-day consultation sets out eight draft rulebooks beneath Taiwan’s Virtual Asset Service Act. The package spans establishment, personnel, controls, outsourcing, account monitoring, financial reports and trade associations.
Australia’s CFD consultation now specifies a 2031 statutory limit and 16 November response deadline, alongside separate-margin, inducement and digital-settlement proposals.
FINMA’s consultation runs until 27 November on revised guidance for direct information transmission to foreign recipients. The draft reflects a parliamentary amendment distinguishing supervisory disclosures from other purposes and a presumption of confidentiality safeguards.
Consultation CP26/37 would simplify senior-manager and firm processes. It is a proposal with a 22 January 2027 response deadline, not an immediate removal of existing obligations.
The consultation would give fund distributors more detail on the sources of cash distributions, major holdings and transaction activity.
The draft standardises voluntary advance compensation, including funding before an offer is published and clear disclosure of the claims investors transfer.