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Enforcement
SFC Proposes SFO Revisions to Improve Enforcement Tools
By Sanday Chongo Kabange | 13/06/2022
The amendments relate to SFO provisions on remedial orders, insider dealing, and advertising of investment products.
Securities / Derivatives
RBNZ to Start Unloading Government Bond Holdings in July
By Editors | 12/06/2022
The RBNZ has accumulated government bonds worth NZD 53 billion through a quantitative easing programme that began in 2020.
AML / KYC
OFAC Blocks Secondary Market Trading in Russian Debt, Equity
By Editors | 12/06/2022
To date, only the purchase of new issues has been prohibited, and trading in secondary markets has still been allowed.
Enforcement
US Ruling Calls Into Question Key SEC Enforcement Mechanism
By Editors | 12/06/2022
The Fifth Circuit court ruled that the SEC’s use of in-house administrative law judges deprived the petitioners of the right to a jury trial.
Securities / Derivatives
FSC Korea to Improve Fairness of Accounting Review Process
By Editors | 12/06/2022
The review period will be limited to one year in principle, with the possibility of a six-month extension, to prevent accounting reviews from being prolonged.
ESG / Sustainability
Code of Practice Launches for Voluntary Carbon Markets
By ESG Investor | 10/06/2022
Google, Unilever and Hitachi have signed on to the new code, which aims to improve the integrity of corporate claims about the use of carbon credits.
Securities / Derivatives
US SEC Unveils Plans to Address Payment for Order Flow
By Manesh Samtani | 10/06/2022
Brokers will have to send orders from retail investors to “open and transparent” auctions and meet stronger best execution obligations.
Market Infrastructure
Guangzhou Activates Plans to Become GBA Wealth Hub
By Darien Choong | 09/06/2022
Guangzhou’s financial regulator will seek to attract talent and capital to the city and promote it as a wealth and asset management centre.
Securities / Derivatives
Shanghai Bourse Streamlines Process for Credit Bond Issuance
By Editors | 09/06/2022
The SSE says the enhanced review process for credit bond issuance and listing is simpler, more clear, and more transparent.
ESG / Sustainability
China Launches Transition Bonds for Eight ‘Dirty’ Industries
By Darien Choong | 09/06/2022
Huaneng, Hualu Group and Baosteel have become the first companies to issue transition bonds, marking the official launch of the pilot programme.
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