Securities / Derivatives

Big Picture

Australia Funds Industry Prone to Conflicts of Interest

By Editors | 26/09/2021

A “long, complex value chain” of intermediaries between fund managers and retail investors raises the potential for conflicts of interest.

Market Infrastructure

Southbound Bond Connect Trading Officially Launched

By Manesh Samtani | 26/09/2021

More than 40 mainland institutional investors and 11 Hong Kong market makers participated in the first day of trading.

Securities / Derivatives

ICMA, NAFMII Publish Guidance on China Interbank Bond Market

By Editors | 26/09/2021

The guidance includes a handbook on investing in the CIBM, as well as a set of case studies to help foreign companies better understand panda bond issuance.

Securities / Derivatives

ASEAN Exchanges to Identify Common ESG Metrics

By Pongnut Thanaboonchai | 26/09/2021

Seven ASEAN exchanges have formed a new ESG working group to start work towards a ‘common sustainability programme’.

Crypto / Digital Assets

Thai SEC Directs Listed Companies to Disclose Crypto Investments

By Pongnut Thanaboonchai | 25/09/2021

Disclosures should be made through the SET’s online portal, company websites, annual registration statements and annual reports.

Securities / Derivatives

Thailand’s SEC to Simplify Fund Disclosure Requirements

By Pongnut Thanaboonchai | 23/09/2021

The SEC said the information contained in prospectuses and factsheets is repetitive and redundant, making it difficult for investors to digest the information.

Enforcement

ASIC Warns of Social Media ‘Pump and Dump’ Campaigns

By Editors | 23/09/2021

ASIC calls on market participants and listed companies to be on the lookout for and report suspected ‘pump and dump’ activity in listed securities.

Securities / Derivatives

RBI Finalises Guidelines for OTC Derivatives Market Makers

By Manesh Samtani | 23/09/2021

The guidelines impose requirements on governance, dealing conduct, risk management, internal control, internal audit and record-keeping.

AML / KYC

CFTC Investigates Binance for Possible Insider Trading

By Manesh Samtani | 22/09/2021

Binance reportedly has plans to become a licensed financial institution, with a centralised headquarters, to make it easier to work with regulators.