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AML / KYC
Thai SEC Proposes UBO Registration Rules for Securities Firms
By Sanday Chongo Kabange | 08/08/2021
Securities firms offering trading, exchange or underwriting services will be required to ensure customers register their foreign beneficiaries.
ESG / Sustainability
US SEC Approves Nasdaq Proposal on Board Diversity
By Manesh Samtani | 08/08/2021
The new rules will require listed companies to meet race and gender targets, or explain in writing why they have failed to do so.
Market Infrastructure
China: New Rules Issued to Address Unreliable Bond Ratings
By Editors | 08/08/2021
The rules require credit rating agencies to strengthen their methodologies and systems, improve corporate governance, and avoid conflicts of interest.
Securities / Derivatives
TWSE to Enhance Timeliness of Disclosures by Listed Firms
By Sanday Chongo Kabange | 08/08/2021
In 2022, some listed companies will have to start disclosing uncertainties about their ability to continue as a going concern based on unaudited financial information.
Securities / Derivatives
CSRC Allows Fidelity to Set up China Retail Fund Business
By Editors | 08/08/2021
Fidelity has become the second global asset manager to receive approval to set up a fully-owned mutual fund business after BlackRock.
AML / KYC
SEBI Allows Indian Fund Managers to Participate in FPIs
By Editors | 07/08/2021
KYC norms that required FPIs and institutional investors to disclose their personal information to SEBI have also been relaxed.
Securities / Derivatives
FSC Korea Issues Notice on Rule Changes for PE Funds
By Sanday Chongo Kabange | 07/08/2021
A new classification system will distinguish between “general PEFs” and “institution-only PEFs”. PEFs will be subject to increased monitoring and external audits.
Securities / Derivatives
Intra-day NAV is Applicable for ETF Transactions: SEBI
By Ranamita Chakraborty | 06/08/2021
The mutual fund industry told SEBI the closing NAV may “not be relevant” for direct transactions in ETF units with large investors.
Enforcement
CSRC Penalises Yongcheng Coal, Executives for Fraud
By Sanday Chongo Kabange | 05/08/2021
Yongcheng Coal and its executives were fined for fraudulent disclosures and for inflating its books. The company defaulted on a CNY 1 billion bond last year.
Securities / Derivatives
SEBI Asks RTAs to Build Common Platform for Fund Investors
By Editors | 05/08/2021
SEBI has asked India’s two RTAs, KFinTech and CAMS, to develop a new dedicated platform for investors to transact in mutual funds.
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