Securities / Derivatives

ESG / Sustainability

Hong Kong Explores Role in Unified GBA Carbon Market

By Sanday Chongo Kabange | 08/09/2021

Hong Kong is exploring opportunities to establish a unified carbon market in the Greater Bay Area, leveraging the Guangdong ETS and Shenzhen ETS.

Enforcement

CSRC to Bolster Supervision of Securities, Fund Practitioners

By Sanday Chongo Kabange | 08/09/2021

The CSRC will organise on-site inspections to ensure securities and fund practitioners adhere to professional ethics obligations and improve governance.

Fintech / Regtech

IOSCO Publishes Final Guidance on Supervising AI/Machine Learning

By Editors | 08/09/2021

IOSCO members are encouraged to consider six measures carefully in the context of their legal and regulatory frameworks.

Securities / Derivatives

HKEX to Roll-out New Workflow for Derivatives Position Adjustments

By Editors | 07/09/2021

The enhancement will allow clearing participants to submit position adjustments requests directly at DCASS Online, replacing the existing paper-based workflow.

Enforcement

BaFin Joins US SEC, DOJ in Probing Collapsed Allianz Funds

By Ranamita Chakraborty | 07/09/2021

Allianz is facing probes from BaFin, SEC and DOJ, as well as 25 investor lawsuits, over last year’s collapse of its Structured Alpha Funds.

Securities / Derivatives

Chinese Banks Start to Restrict FX Services Amid Risk Concerns

By Sanday Chongo Kabange | 07/09/2021

State-owned lender Huaxia Bank has restricted some of its FX services amid regulatory concerns over yuan volatility.

Securities / Derivatives

Lessons in Operational & Credit Risk Management for Exchange Members

By Boon Gin Tan | 07/09/2021

SGX RegCo’s Boon Gin Tan and Grace Mok discuss findings from a survey of exchange members. A new guide on credit risk management has also been released.

Securities / Derivatives

Thai SEC Proposes to Streamline Bond Issuance Regulations

By Pongnut Thanaboonchai | 07/09/2021

Under the amendments, debt instruments must be issued within 6 months from the date the filing is approved, the SEC said.

Market Infrastructure

Hainan to Pilot Cross-Border Asset Management Trials

By Sanday Chongo Kabange | 06/09/2021

Hainan’s also plans also launch QFLP and QDLP trials and enhanced currency convertibility to facilitate cross-border trade and investment.