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Book Title: Research Handbook on Asian Financial Law
Editor(s): Arner, W. Douglas; Wan, Yee Wai; Godwin, Andrew; Shen, Wei; Gibson, Evan
Publisher: Edward Elgar Publishing
Section: Chapter 10
Section Title: Cross-border regulation of securities markets in ASEAN
Author(s): Wan, Wai Yee
Number of pages: 19
Abstract/Description:
How does cross-border regulation of securities markets work in ASEAN? What is the state of coordination and integration of the securities markets within ASEAN states? In this chapter, I discuss how the current practices of cross-border regulation of securities markets are organized within the ASEAN Economic Community, which are, based on a mixture of a national treatment principle, mutual recognition of securities regulation and limited harmonization. I demonstrate that in spite of the public commitment by the ASEAN states towards capital markets integration, there are significant limitations to the current practices, and the progress towards integration continues to be modest. In order to increase the pace of capital markets integration, I argue that greater consideration should be given to supervision and enforcement.
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URL: http://www.austlii.edu.au/au/journals/ELECD/2020/216.html