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AML / KYC
GLEIF, SWIFT Collaborate to Enable Mapping Between MICs and LEIs
By Editors | 15/11/2022
GLEIF will publish new open-source relationship files monthly which will map Market Identifier Codes pertaining to legal entities to the corresponding LEIs.
Securities / Derivatives
UOB Lists First Product on SGX Using Shenzhen ETF Link
By Editors | 15/11/2022
The SGX-listed ETF replicates the performance of SZSE’s ChiNext Index by investing in a Shenzhen-listed ETF managed by Ping An Fund Management.
Enforcement
US SEC Expands Staff Messaging Probe to Private Equity Firms
By Editors | 15/11/2022
KKR & Co, Apollo Global Management and Carlyle Group have disclosed that they are subject to the SEC’s regulatory probe.
ESG / Sustainability
UK Think Tank Accuses Singapore’s Sembcorp of Greenwashing
By Editors | 14/11/2022
The allegations relate to Sembcorp’s sale of its India coal business while still retaining “substantial liabilities” and “operational influence”.
ESG / Sustainability
Overwhelming Majority for CSRD Secured in EU Parliament
By ESG Investor | 14/11/2022
The EU Parliament has adopted new sustainability reporting rules for large companies under the Corporate Sustainability Reporting Directive.
Capital / Liquidity
India Resists ESMA Requirements on CCP Recognition – Reports
By Manesh Samtani | 14/11/2022
ESMA decision will block EU banks from dealing with Indian CCPs after 30 April 2023. India faces similar standoffs with UK and Japanese regulators.
Capital / Liquidity
Korean Commercial Paper Markets Still Under Stress
By Editors | 13/11/2022
New measures announced include more active liquidity support from banks and additional purchasing support from KDB and KODIT.
Securities / Derivatives
APRA Proposes Measures to Improve Super Fund Transfer Process
By Editors | 13/11/2022
The measures are proposed in response to the erosion of member benefits that occurs when successor fund transfers are carried out.
Enforcement
Bursa Malaysia Issues Public Reprimand Over Sponsor Failures
By Editors | 13/11/2022
TA Securities did not assess the internal controls and risk management systems of the listing applicant and falsely represented that it had.
AML / KYC
LME Decides Against Banning Russian Metals from Warehouses
By Editors | 13/11/2022
The LME received feedback that a “material portion” of the market is still planning to buy Russian metal in 2023.
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