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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.
Enforcement
Korean Broker and Bank Penalised Over Optimus Mis-selling
By Editors | 04/03/2022
NH Investment & Securities cannot sell new private equity funds for three months. Hana Bank cannot be appointed as a fund trustee for three months.
Enforcement
SFC, HKEX Fine HSBC Securities for Regulatory Breaches
By Editors | 04/03/2022
The firm made errors when assigning BCANs to clients. It also oversold China securities due to deficiencies in its order management and algorithmic trading systems.
Securities / Derivatives
Cambodia Securities Exchange Launches New Mobile Trading App
By Editors | 04/03/2022
The mobile app will help promote the growth of trading and liquidity in Cambodia’s securities market, said CSX chief Hong Sok Hour.
Securities / Derivatives
SEBI to Allow FPIs to Access Commodities Derivatives Market
By Editors | 03/03/2022
SEBI proposes to scrap rules that require foreign investors to have actual commodity exposure to participate in the exchange-traded commodity derivatives market.
Securities / Derivatives
BSEC Plans to Transition Stock Market to T+2 Settlement
By Editors | 03/03/2022
BSEC is working on the technical aspects of the change, which will likely be implemented in phases, starting with blue-chip stocks.
Crypto / Digital Assets
SET to Launch Digital Asset Exchange ‘Very Soon’
By Editors | 03/03/2022
The new digital asset exchange will not offer cryptocurrency trading, but instead focus on investment tokens and utility tokens.
Securities / Derivatives
JSDA Proposes Measures to Improve IPO Pricing Mechanism
By Editors | 03/03/2022
JSDA proposes to allow brokers greater flexibility in IPO price-setting, and to allow prices to exceed pre-set bands if demand is strong.
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