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Enforcement
Philippine SEC Strengthens Director Disqualification Rules
By Editors | 08/03/2022
The rules set out the conditions under which the SEC can disqualify and remove a director, trustee, or officer of a company.
Securities / Derivatives
Best Execution Requirements Come into Force in Singapore
By Manesh Samtani | 08/03/2022
MAS finalised the best execution requirements in September 2020, giving firms an 18-month transitional period for compliance.
AML / KYC
SGX Issues Directions to Listed Issuers on Sanctions Compliance
By Manesh Samtani | 08/03/2022
Gazprom’s GDR listing on SGX has been suspended. Issuers are directed to suspend trading if they are subject to sanctions or engaging in sanctioned business dealings with Russia.
Enforcement
Indian Police Arrest Former NSE Head Chitra Ramkrishna
By Sanday Chongo Kabange | 07/03/2022
The CBI said evidence shows that Ramkrishna engaged in a conspiracy with another executive, after she coerced NSE’s HR department to hire him.
Securities / Derivatives
SEBI Extends Timeline for Brokers to Segregate Client Collateral
By Editors | 07/03/2022
The implementation timeline for the new framework on client collateral segregation and monitoring has been extended to 2 May 2022.
Securities / Derivatives
SFC Directs Licensed Corporations to Plan for Contingencies
By Editors | 07/03/2022
The SFC expresses concern that some licensed firms may not have plans in place to deal with financial distress or the sudden unavailability of key staff.
Enforcement
SMBC Nikko Employees Arrested in Manipulation Probe
By Editors | 07/03/2022
Two Japanese and two foreign nationals were arrested for allegedly manipulating at least five stocks when handling block orders for clients.
AML / KYC
Russia Lays Out Three Exit Options for Foreign Firms
By Manesh Samtani | 07/03/2022
One option is for foreign shareholders to transfer their shares to be managed by Russian partners until they return to the market at a later date.
Crypto / Digital Assets
Thailand SEC Tightens Custody Rules for Digital Assets
By Mark Johnston | 05/03/2022
The SEC is also proposing requirements for digital asset businesses to disclose service quality information on their websites.
Enforcement
NZ FMA Censures Derivatives Issuer Over Suitability Checks
By Editors | 05/03/2022
CTRL Investments allowed investors who could not demonstrate the necessary skills and knowledge to trade derivatives.
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