Securities / Derivatives

SEBI Proposes Regulatory Framework for Online Bond Platforms

28/07/2022

SEBI proposes in a new consultation paper that online bond trading platforms should register as stock brokers or be run by SEBI-registered brokers.

Securities / Derivatives

JPX to Enhance Dialogue Between Listed Companies & Investors

28/07/2022

JPX and JPXI will work with IR platform operator Minsetsu to promote communications between listed companies and investors.

AML / KYC

US SEC Issues Fines Over Identity Theft Prevention Programmes

28/07/2022

JP Morgan Securities will pay a $1.2mn penalty, UBS Financial Services will pay $925,000, and TradeStation Securities will pay $425,000.

ESG / Sustainability

Banking on a Sustainable Future

27/07/2022

Organisastions are faced with the challenge of understanding the nuances of regulations and ensuring they have sufficient capacity to apply them in daily business activities.

AML / KYC

FATF Issues Final AML Guidance for Real Estate Sector

27/07/2022

The guidance sets out the primary risks for the real estate sector and the measures needed to take adequately mitigate these risks.

Capital / Liquidity

Korea to Introduce Funding Support Mechanism for FIs in Distress

27/07/2022

Funding support will only be made available for the resolution of distress in cases where an FI has the potential to improve liquidity and capital adequacy.

Capital / Liquidity

APRA Finalises Implementation Guidance for New Capital Framework

27/07/2022

APRA is seeking written submissions by 26 August 2022 on consequential amendments relating to the treatment of exposures to New Zealand and the NSFR requirement.

Securities / Derivatives

Alibaba Unveils Plans to Upgrade Hong Kong Listing Status

27/07/2022

Alibaba is planning to upgrade its secondary listing status in Hong Kong to a primary listing, so that it can qualify for inclusion in Stock Connect and benefit from mainland investment.

Fintech / Regtech

MAS, Google Cloud Launch New Climate FinTech Support Programme

27/07/2022

The Point Carbon Zero Programme under Project Greenprint aims to catalyse the growth of climate FinTech solutions in Asia over the next three years.