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Market Infrastructure
Thai SEC Launches New Portal for Cyber Incident Reporting
By Editors | 03/04/2022
The portal will also be used to disseminate information about preventive measures firms can take to reduce the risks and impacts of cyber threats.
Securities / Derivatives
SEBI Approves Enhancements to CIS Rules
By Editors | 03/04/2022
The amendments will require CIS managers and certain designated employees to invest in the CIS they manage, and limit investment in other CIS managers.
Securities / Derivatives
SFC Sets Out Expectations on Complaints Handling Processes
By Editors | 01/04/2022
LCs should set a 7-day timeline for acknowledging receipt of complaints and a 2-month timeline for providing a final response to the complainant.
Securities / Derivatives
US SEC Proposes Enhanced Protections for SPAC Investors
By Editors | 31/03/2022
The proposal aims to provide SPAC investors additional disclosures and protections similar to those they would receive in an IPO.
Securities / Derivatives
SEBI Proposes to Shorten Timelines for Open Offers, Buybacks
By Editors | 31/03/2022
The proposed changes include a shorter time period during which an open offer or buyback offer can remain open, from 10 days to 5 days.
ESG / Sustainability
ADGM to Launch Regulated Carbon Exchange and Clearinghouse
By Darien Choong | 31/03/2022
ADGM will launch a carbon trading exchange and clearinghouse, offering trading in tokenised carbon credits, carbon credit futures and green energy contracts.
Securities / Derivatives
MAS Publishes New Compliance Toolkit for CMS Licensees
By Editors | 31/03/2022
The toolkit is applicable to CMS licensees that deal in capital markets products, advise on corporate finance, or provide product financing, custodial services or credit rating services.
Securities / Derivatives
Korea FSS Seeks Stronger Audit Regulations to Prevent Fraud
By Sanday Chongo Kabange | 31/03/2022
The FSS will examine 180 companies and 17 audit firms this year, while also enhancing its audit screening exercises and strengthening punitive sanctions.
Enforcement
CSRC Revokes Licences of Two Investment Consulting Firms
By Editors | 31/03/2022
The two well-established securities investment consulting firms were found to have disseminated false or misleading information to investors.
Securities / Derivatives
HKEX Enhances Third Party Clearing Arrangement for HKFE Contracts
By Editors | 31/03/2022
As of Monday, non-clearing participants can appoint more than one general clearing participant to clear and settle HKFE contracts.
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