Securities / Derivatives

Securities / Derivatives

BNP Paribas to Form Wealth Management Venture in China

By Editors | 03/09/2021

BNP Paribas Asset Management will reportedly hold a majority stake in the planned venture with AgBank’s wealth management subsidiary.

Securities / Derivatives

HKEX Identifies Compliance Deficiencies by Exchange Participants

By Sanday Chongo Kabange | 03/09/2021

In a new bulletin, HKEX offers guidance on compliance with LOP reporting, client margin and block trade order execution requirements.

Enforcement

MAS Bans Ex-UOBKH Employees for Making False Statements

By Ranamita Chakraborty | 03/09/2021

The individuals provided false information to MAS when it was checking whether background checks were included in due diligence for the IPO of a Catalist listed company.

Market Infrastructure

China to Set Up New SME-Focused Stock Exchange in Beijing

By Editors | 03/09/2021

President Xi Jinping announced that a new stock exchange will be set up in Beijing and reforms at the NEEQ will be deepened to further support SMEs.

Securities / Derivatives

SGX Finalises Framework for SPAC Listings in Singapore

By Manesh Samtani | 03/09/2021

The finalised framework lowers the minimum market cap required of a SPAC listing to S$150mn from S$300mn proposed in SGX’s March consultation.

Securities / Derivatives

HKEX, HKSTP to Collaborate on Biotech, Fintech Initiatives

By Manesh Samtani | 02/09/2021

HKEX will leverage expertise from Hong Kong Science and Technology Parks Corp to help it review biotech listing applications.

Securities / Derivatives

SAFE Assesses Bank Processes for Managing FX Volatility

By Editors | 02/09/2021

Regulators are said to be preparing for policy normalisation in major developed markets and for stimulus measures to end, which could prompt currency volatility.

Big Picture

Most Green Investment Funds Missing Paris Goals

By ESG Investor | 01/09/2021

New analysis says majority of climate-themed investment funds are not living up to claims, calls for increased regulatory oversight.

Securities / Derivatives

CSRC to Eliminate “Fake” Private Equity, Venture Capital Funds

By Editors | 01/09/2021

CSRC chairman Yi Huiman said “fake” private equity funds that are sold to the general public instead of targeted investors will be eliminated.