SECURITIES / DERIVATIVES

Securities / Derivatives

BlackRock Wins Approval to Launch China Fund Business

By Manesh Samtani | 12/06/2021

BlackRock is the first foreign asset manager to win approval to launch a wholly-owned mutual fund business in China.

ESG / Sustainability

Thailand: SEC Pledges Support for AIMC Sustainability Roadmap

By Manesh Samtani | 11/06/2021

The three-year roadmap includes an initiative to develop an ‘ESG Data Framework’, which will enhance the information investors can be provided on the ESG efforts of listed companies.

Securities / Derivatives

RBI Eases Reporting Burden for FPIs Trading in G-Secs

By Ranamita Chakraborty | 11/06/2021

FPIs will have up to three hours after the close of trading to report transactions in government securities on the NDS-OM platform.

Securities / Derivatives

Thailand SEC Streamlines Process for Mutual Fund Approvals

By Sanday Chongo Kabange | 11/06/2021

Asset managers can start submitting applications for approval to establish a new mutual fund using a new online system from 1 June.

Securities / Derivatives

ASIC Stresses Quality of Financial Reports, Disclosures

By Ranamita Chakraborty | 11/06/2021

The assumptions underlying estimates and assessments for financial reporting purposes should be reasonable, supportable, realistic, and not overly optimistic or pessimistic.

Market Infrastructure

Regulatory Harmonisation Critical to OTC Derivatives Reporting

By Priya Kundamal | 11/06/2021

The fragmentation of trade reporting rules and the lack of a common data set across jurisdictions hinders transparency and global risk monitoring, writes DTCC’s Priya Kundamal.

Securities / Derivatives

SEBI Updates Rules for Centralised Corporate Bond Database

By Sanday Chongo Kabange | 11/06/2021

The updated rules aim to further streamline the centralised database and provide further ease of access of information for investors.

Market Infrastructure

SGX Invites Feedback on Rule Amendments for ‘GIFT Connect’

By Ranamita Chakraborty | 11/06/2021

The proposed amendments seek to clarify the obligations of SGX-DT trading members when accessing GIFT Connect to trade Nifty derivatives.

Enforcement

SFC Suspends GEO Securities Executive for 7.2 Months

By Sanday Chongo Kabange | 11/06/2021

GEO’s breaches were attributable to Lun Sheung Nim’s failure to discharge his duties as a responsible officer and member of the senior management.