AML / KYC

AUSTRAC Offers Update on Work to Enhance Reporting System

13/04/2022

The IFTI-E schema version 2.0 will be finalised in the next few months. This will be used to enable the upload of IFTI-E reports through a new API and user interface.

Securities / Derivatives

SEBI Seeks to Loosen Restrictions on Mutual Fund Sponsors

13/04/2022

A new working group will recommend new eligibility criteria that could allow private equity funds and other pooled investment vehicles entities to sponsor mutual funds.

Securities / Derivatives

Indonesia Stock Exchange to Allow Structured Warrant Listings

13/04/2022

New regulations allow exchange members to issue structured warrants for listing and trading on the IDX. Structured warrants must have a liquidity provider.

Market Infrastructure

HKEX Set to Launch New Electronic Communication Platform

12/04/2022

Phase 1 of the rollout will allow exchange participants to use the new platform to download day-end trade files and closing price files, starting from 25 April.

ESG / Sustainability

SGX Set to List First ETF Based on New Low Carbon Index

12/04/2022

The ETF will allow investors to buy just one unit at a time, a feature aimed at attracting investment from younger and newer investors.

Enforcement

SFC Bans China Tonghai Securities Representative for 20 Months

12/04/2022

The representative conducted 1,089 trades in clients’ stock options accounts but was only given specific authorisation for 87 trades of the trades.

Enforcement

Shanghai Bourse Probes First STAR Market Securities Fraud Case

12/04/2022

An optical storage equipment supplier is being investigated for failing to disclose that it granted loans to shareholders and other entities in exchange for pledged assets.

Capital / Liquidity

Controls at Vietnam Banks to Be Subject to Independent Audit

12/04/2022

Internal control systems at credit institutions and foreign bank branches in Vietnam will be subject to independent auditing, according to a new circular.

ESG / Sustainability

Thai SEC Finalises Disclosure Guidelines for SRI Funds

12/04/2022

The guidelines will promote transparency, enable investors to make more informed decisions, and reduce the risk of greenwashing, the SEC says.