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SECURITIES / DERIVATIVES
Enforcement
US SEC Penalises SPAC for Allowing Embezzlement by CFO
By Editors | 27/02/2023
A lack of internal controls and oversight allowed the SPAC’s CFO to misappropriate cash and falsify financial reports for over a year.
Securities / Derivatives
HKEX to Adjust Rules to Support CSRC’s New Overseas Listing Regime
By Editors | 27/02/2023
Listing applicants from the Mainland will have to submit to HKEX a notification issued by the CSRC confirming their completion of Mainland’s filing procedures.
Market Infrastructure
Stock Connect Trading Calendars Adjustments to Take Effect in April
By Editors | 27/02/2023
The trading calendar enhancements will add more than ten trading days to northbound and southbound Connect each year.
Securities / Derivatives
Korea to Enhance Regulatory Framework for Asset Securitisation
By Editors | 27/02/2023
The amendments aim to increase the flexibility of asset securitisation as a fundraising tool, while also improving transparency and risk management.
Market Infrastructure
UK Version of EMIR Refit to Take Effect from 30 Sept 2024
By Editors | 26/02/2023
The FCA and BOE have set out the final changes to the derivatives reporting framework under UK EMIR. Draft validation rules and XML schemas are open for feedback.
Securities / Derivatives
LME to Resume Nickel Trading in Asian Hours on 20 March
By Editors | 25/02/2023
The LME hopes the resumption of trading during Asian market hours will “further contribute to liquidity rebuilding in the nickel market.”
Securities / Derivatives
SEBI Proposes New Rules to Protect REIT, InvIT Investors
By Editors | 24/02/2023
SEBI proposes to require at least one sponsor to hold units throughout the life of a REIT/InvITs, to align their interests with other unitholders.
Securities / Derivatives
MAS Finalises New Corporate Finance Due Diligence Standards
By Editors | 24/02/2023
From 1 October 2023, corporate finance advisers will have to meet new minimum standards when conducting due diligence on transactions.
Market Infrastructure
DSB Announces Launch Dates for UPI Service
By Editors | 24/02/2023
The UPI UAT environment and a client onboarding and support platform will be available from 17 April, and the UPI production environment from 16 October.
ESG / Sustainability
SEBI Consults on Regulatory Framework for ESG Disclosures, Ratings
By Manesh Samtani | 24/02/2023
The BRSR framework will be enhanced to require assurance on ESG disclosures. SEBI also proposes mandatory requirements for ESG rating providers.
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