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Enforcement
Chinese Court Accepts First Class Action Against Listed Company
By Sanday Chongo Kabange | 20/04/2021
The CSRC said the lawsuit will help listed companies and intermediaries to improve their internal governance and standardise market operations.
Market Infrastructure
BCBS to Discuss Archegos Collapse, Total Return Swaps
By Sanday Chongo Kabange | 20/04/2021
The BCBS will intensify scrutiny of structured financial products and total return swaps, according to Secretary General Carolyn Rogers.
Securities / Derivatives
ISDA to Consolidate Interest Rate Derivatives Definitional Book
By Editors | 20/04/2021
The new 2021 ISDA Interest Rate Derivatives Definitions will be published on 17 May, with target implementation scheduled for October.
Securities / Derivatives
Korea Set to Expand Securities Lending to Retail Investors
By Manesh Samtani | 20/04/2021
Seventeen securities firms will begin to provide stock lending services worth an estimated KRW 2.4 trillion to retail investors from 3 May.
Securities / Derivatives
CBIRC Calms Market Fears Over Huarong Restructuring
By Editors | 19/04/2021
The CBIRC says Huarong is actively cooperating with its auditor and will complete its annual report as soon as possible.
ESG / Sustainability
HK Bourse Proposes New Governance, ESG Reporting Standards
By Editors | 19/04/2021
The proposals enhance corporate governance standards in the areas of corporate culture, director independence, diversity, and ESG disclosures and standards.
Securities / Derivatives
China-Japan ETF Connect Sees Launch of New Funds
By Ranamita Chakraborty | 19/04/2021
Daiwa Asset Management has listed two ETFs on the TSE while ICBC Credit Suisse Asset Management has listed one ETF on the SZSE.
Securities / Derivatives
HKMA, SFC Consult on Annual Update to FSP List
By Editors | 15/04/2021
A unit of Toronto-Dominion Bank is proposed to be included on the FSP list. An entity that has merged with Deutsche Bank will be removed.
Enforcement
SFC Fines Optimas Capital Over Short Position Reporting Errors
By Editors | 15/04/2021
The errors occurred as a result of a programming mistake in a script created to automate the process of identifying reportable short positions.
ESG / Sustainability
US SEC Warns of Misleading Statement Regarding ESG Investing
By Sanday Chongo Kabange | 14/04/2021
Many financial firms may be offering ESG products only because it is lucrative to do so, says SEC commissioner Hester Peirce.
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