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Fintech / Regtech
SFC Finds Deficiencies in Investment Services Offered Online
By Sanday Chongo Kabange | 02/09/2022
The SFC is calling on licenced corporations to address regulatory deficiencies identified in some investment services offered online.
ESG / Sustainability
IOSCO Offers Guidance on Educating Investors About ESG
By Editors | 01/09/2022
Regulators should help investors better understand ESG certifications, labels and scores, and facilitate financial advisor anti-greenwashing training.
Enforcement
Australia: Grant Thornton Auditor Facing Criminal Charges
By Editors | 01/09/2022
The matter reportedly concerns revenue numbers signed off by Grant Thornton for booking in the half-year results of iSignthis Ltd in 2018.
Securities / Derivatives
China Launches First Affordable Rental Housing REITs
By Editors | 01/09/2022
The REITs started trading on Wednesday, after being more than 100 times oversubscribed among institutional investors two weeks earlier.
Crypto / Digital Assets
ASIC Warns Against Offering Risky Products to Retail
By Sanday Chongo Kabange | 01/09/2022
ASIC warns brokers against offering securities lending arrangements, crypto assets and so-called ‘zero brokerage’ offerings to retail investors.
Securities / Derivatives
Five Super Funds Fail APRA’s Second Performance Test
By Editors | 01/09/2022
Four of the five have now failed for a second time. Five other MySuper products that failed last year have now passed.
Securities / Derivatives
PCAOB Picks Chinese Firms for First Audits Checks – Report
By Editors | 31/08/2022
Alibaba, Netease, Baidu, JD.com and Yum China are among the first Chinese firms selected for the PCAOB’s audit checks in Hong Kong
Securities / Derivatives
Japan FSA Seeks to Make NISA Programme Permanent
By Editors | 31/08/2022
NISA is a programme for small investments that offers time-based exemptions from capital gains and dividend tax.
Enforcement
China Merchants Securities Probe Prompts 23 IPO Halts
By Editors | 31/08/2022
China Merchants Securities is under investigation for violations in 2014, prompting suspensions of 23 IPOs it is sponsoring.
Market Infrastructure
IBA Consults on Cessation of USD LIBOR ICE Swap Rate
By Editors | 31/08/2022
USD SOFR ICE Swap Rate settings are available for the same tenors for use as a benchmark in financial contracts and instruments.
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