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AML / KYC
SFC Finalises Investor ID, OTC Securities Reporting Regimes
By Manesh Samtani | 11/08/2021
The investor identification regime is expected to be launched in H2 2022. The securities transactions reporting regime will go live in H1 2023.
Market Infrastructure
CSRC Accepts StanChart Application for Fully-owned China Brokerage
By Editors | 11/08/2021
The CSRC has accepted an application from Standard Chartered Bank Hong Kong to establish a fully owned securities unit in the mainland.
Enforcement
Former HKEX Exec Pleads Not Guilty to Corruption Charges
By Editors | 11/08/2021
The former co-head of HKEX’s IPO-vetting team, Eugene Yeoh, was arrested in June 2019 for alleged bribery and misconduct in public office.
Securities / Derivatives
Indian Startups Call on Govt to Allow Direct Overseas Listings
By Ranamita Chakraborty | 10/08/2021
Concerns that direct overseas listings will hurt the domestic market are unfounded, local startups said in a letter to the prime minister.
ESG / Sustainability
SGX to Consult on Sustainability Reporting Enhancements “Soon”
By Manesh Samtani | 10/08/2021
The consultation will seek views on incorporating the TCFD recommendations, specific metrics to improve data comparability, assurance requirements, and board diversity disclosures.
ESG / Sustainability
Japan FSA Seeks Better Quality ESG, Climate Disclosures
By Editors | 10/08/2021
The FSA plans to establish a new framework for the certification of ESG-related products. It is also exploring mandatory climate risk disclosures.
Securities / Derivatives
Australia Tweaks Fee Component of Super Fund Performance Test
By Editors | 10/08/2021
The test will be based on the most recent financial year of administration fees, rather than the past eight years, to incentivise fee reductions.
ESG / Sustainability
Thailand’s Proposed SME Board Falls Short of Market Needs
By Pongnut Thanaboonchai | 09/08/2021
The SEC’s proposed SME board is unlikely to facilitate access to capital for startups that are most in need of funding, says Pongnut Thanaboonchai.
Securities / Derivatives
JP Morgan Approved to Take Full Ownership of China Securities Unit
By Editors | 08/08/2021
JP Morgan already had a controlling stake in the unit. The new approval makes it the first foreign firm to fully own a securities venture in China.
Securities / Derivatives
Hong Kong ICAC Charges Securities Brokers for Bribery
By Editors | 08/08/2021
Two securities brokers accepted commissions to arrange for their clients to use a futures trading programme provided by a software company.
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