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ESG / Sustainability
NZX to Establish Corporate Governance Centre of Excellence
By Editors | 05/08/2022
Members of the new institute will deliver recommendations to NZX on its rule settings and CG Code to further enhance listed companies’ corporate governance practices.
AML / KYC
ACCC Raises Alarm Over Rising Fake Bond Scams
By Editors | 05/08/2022
Reported losses suffered by Australian victims of imposter bond scams increased by 265% to A$20mn in H1, compared to the same period last year.
Market Infrastructure
ASX: Launch of New CHESS Platform Delayed Until Late 2024
By Editors | 04/08/2022
Accenture to provide an independent review of the new CHESS application and help ASX determine a new launch schedule.
Securities / Derivatives
CSRC Vows to Stabilise Markets, Promote Regulatory Reforms
By Editors | 04/08/2022
The CSRC has vowed to stabilise domestic capital markets, among other regulatory priorities for the second half of the year.
Enforcement
Korea FSS Considers Taking Woori Chief to Supreme Court
By Editors | 04/08/2022
The FSS sought to reprimand Sohn Tae-seung, but two courts have now ruled in favour of the Woori Financial Group chairman and CEO.
Securities / Derivatives
Shanghai STAR Market Celebrates Three Years Since Launch
By Editors | 03/08/2022
The STAR Market now accounts for about 6.6% of all mainland listed firms. A market-making system will soon be launched to enhance liquidity.
Securities / Derivatives
Thai SEC Proposes Rules to Prevent Misuse of IPO Channel
By Sanday Chongo Kabange | 03/08/2022
The amendments will prevent listed companies from operating as investment companies and circumventing rules applicable to fund managers.
Enforcement
SFC Fines TC Capital for Due Diligence Failures in Sponsor Work
By Editors | 03/08/2022
The SFC said there was a need to send a “strong deterrent message” to the industry and market that “sponsor failures will not be tolerated”.
Securities / Derivatives
US SEC Adds Alibaba to List of Firms Facing Delisting Threat
By Manesh Samtani | 03/08/2022
Chinese regulators have tried to mollify US regulators, but the PCAOB says it will accept nothing less than “full access” to the audit papers of US-listed Chinese companies.
Securities / Derivatives
Taiwan FSC Tightens Rules for Senior Securities, Futures Personnel
By Editors | 03/08/2022
The rules are aimed at preventing directors from taking on positions at other firms that could affect their performance or create conflicts of interest.
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