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AML / KYC
HK ICAC, FRC to Collaborate on Financial Market Malpractice
By Editors | 07/10/2021
The new MoU sets out a framework for cooperation, covering case referrals, joint investigations, information exchange, mutual investigative assistance and training.
Capital / Liquidity
Derivatives Are “Essential” to Carbon Markets: ISDA
By Editors | 06/10/2021
Regulatory action is needed to address disproportionately high capital requirements that would be imposed on carbon certificates by FRTB.
Securities / Derivatives
SEBI Proposes Adjustments to IPO Book Building Framework
By Ranamita Chakraborty | 06/10/2021
SEBI says some issuers have been setting “extremely narrow” price bands to camouflage fixed price issues as book built issues.
Fintech / Regtech
ISDA to Develop Standard Documentation for Crypto Derivatives
By Mark Johnston | 06/10/2021
ISDA CEO Scott O’Malia says a new working group has been formed to develop standard documentation for crypto derivatives.
Securities / Derivatives
Malaysia Launches New Crude Palm Oil Futures Contract
By Editors | 06/10/2021
The new contract is expected to attract commodity traders in China’s palm olein market to trade on the DCE and Bursa conurrently.
Enforcement
US Inspector General Probes Fed Officials’ Stock Trades
By Sanday Chongo Kabange | 06/10/2021
The Office of Inspector General will conduct an independent review to determine whether Fed officials violated ethics rules and the law.
Securities / Derivatives
Dhaka Bourse Commences Trading on New SME Platform
By Duruthu E Chandrasekera | 05/10/2021
Investors must have at least BDT 5 million in stock investments to participate in the secondary market for SMEs listed on the new platform.
Securities / Derivatives
Thailand, China to Explore Market Connectivity Initiatives
By Editors | 05/10/2021
SEC and CSRC officials have agreed to explore the development and implementation of connectivity initiatives between their markets.
Market Infrastructure
SFC Issues New Guidance on Remote Working Risks
By Manesh Samtani | 05/10/2021
The SFC describes incidents that occurred due to failures to split teams amid the pandemic, set up phone recording, and promptly isolate a server compromised by ransomware.
Market Infrastructure
ISDA Implements New Definitions for Interest Rate Derivatives
By Editors | 04/10/2021
LCH says the new definitional booklet reinforces standardisation, drives messaging fidelity and efficiency, and accommodates flexibility in markets.
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