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Capital / Liquidity
Thailand SEC Issues New Rules on Fund Liquidity Management
By Editors | 28/07/2021
Asset managers have until 1 January 2022 to have a board-approved policy in place and ensure the availability of sufficient liquidity management tools.
Securities / Derivatives
UK FCA Finalises Rule Changes for SPAC Listings
By Manesh Samtani | 28/07/2021
The FCA will remove the presumption of suspension at the point when an acquisition target is identified, for SPACs that meet certain criteria.
Securities / Derivatives
Sumitomo Mitsui Seeks Approval to Launch China Brokerage
By Editors | 28/07/2021
Sumitomo Mitsui Financial Group and SMBC Nikko Securities filed a joint application with the CSRC on Tuesday.
Crypto / Digital Assets
Singapore’s CTX to Debut Cross-border Trading of China Carbon Credits
By Sanday Chongo Kabange | 27/07/2021
Cyberdyne Tech Exchange said its carbon neutrality tokens, or CNTs, would pave the way for carbon credits to be transferred across international borders.
Securities / Derivatives
SEBI Requires Segregation, Monitoring of Client Collateral
By Editors | 27/07/2021
The framework seeks to address previous instances of brokers defaulting and misusing clients’ securities and funds.
Fintech / Regtech
New Body Formed to Promote Open Standards for Capital Markets
By Sanday Chongo Kabange | 27/07/2021
The GLML Foundation is developing general-purpose legal markup language as an open data standard for capital markets.
Securities / Derivatives
Thailand SEC Consults on Securities Law Revisions
By Sanday Chongo Kabange | 27/07/2021
The amended Securities and Exchange Act will promote cooperation between financial market regulators including the SEC, BOT and OIC.
AML / KYC
SFC Calls on Industry to Report Suspected Ramp-and-dump Activity
By Manesh Samtani | 26/07/2021
Ramp-and-dump scams now account for about half of the market manipulation cases being investigated by the SFC. Overseas investors also being targeted.
Securities / Derivatives
Chinese Firms Redirect IPOs From New York to Hong Kong
By Sanday Chongo Kabange | 26/07/2021
Chinese authorities are considering severe penalties for Didi Chuxing, which proceeded with its New York IPO despite being asked to first submit to a cybersecurity review.
Securities / Derivatives
Shanghai to Test Yuan in Cross-border Financial Products
By Sanday Chongo Kabange | 26/07/2021
Shanghai’s Pudong New Area will be able to freely use the yuan in cross-border financial products in a new pilot programme.
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