Securities / Derivatives

Crypto / Digital Assets

Thai SEC Revises Definitions for Institutional, HNW Investors

By Editors | 16/03/2022

Institutional investors will include those with the ability to analyse and absorb risks in complex and high-risk products, such as VC and PE firms, investment analysts, and company directors.

Enforcement

CSRC Issues Draft Rules to Enhance Civil Compensation System

By Darien Choong | 16/03/2022

The rules will enable aggrieved investors to claim compensation from amounts already paid by securities violators in fines and confiscations.

ESG / Sustainability

HKEX Listing Committee Outlines Policy Agenda for 2022

By Sanday Chongo Kabange | 16/03/2022

HKEX will review the IPO eligibility requirements for technology firms, optimise the IPO price discovery process, and enhance ESG standards and climate disclosures.

Securities / Derivatives

LME Set to Reopen Following Nickel Short Squeeze Incident

By Darien Choong | 16/03/2022

Chinese nickel producer Tsingshan Holding Group has secured a liquidity facility to help it meet its margin and settlement obligations on the LME.

ESG / Sustainability

IOSCO Seeks to Build Trust in Sustainability Reporting

By ESG Investor | 15/03/2022

IOSCO’s 2022 work plan for sustainable finance focuses on assurance, carbon markets and reporting standards.

ESG / Sustainability

BOJ to Launch New Climate Survey in Fiscal 2022

By Sanday Chongo Kabange | 15/03/2022

The survey will seek responses from market participants to assess the functioning of Japanese financial markets in relation to climate change.

Securities / Derivatives

MAS Issues New Compliance Toolkits for Fund Managers, CMS Licensees

By Editors | 15/03/2022

The compliance toolkits will provide regulated entities with a simple reference on the common applications, forms and submission requirements.

Securities / Derivatives

Japan FSA to Compel Listed Firms to Disclose Gender Ratios

By Sanday Chongo Kabange | 15/03/2022

An FSA task force is discussing new rules that would require listed companies to disclose their ratios of women in managerial positions.

Securities / Derivatives

US Bill Targets Private Securities Offerings by Chinese Firms

By Nick Morgan | 14/03/2022

Private US securities offerings by China-based companies could become subject to the same scrutiny as publicly traded securities, says Nick Morgan.