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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.
Enforcement
BaFin Faces Criminal Probe Over Wirecard Response
By Sanday Chongo Kabange | 14/04/2021
BaFin has been under fire since mid-last year for failing to properly respond to multiple red flags signalling an accounting fraud at Wirecard.
Securities / Derivatives
US SEC Identifies Accounting Issues with SPAC Listings
By Sanday Chongo Kabange | 14/04/2021
Some warrants issued to early SPAC investors may have been recorded as equity instruments when they should have instead been recorded as liabilities.
Securities / Derivatives
China: SAFE Approves $5b in QDLP Quotas for Hainan
By Sanday Chongo Kabange | 14/04/2021
The QDLP pilot programme will enable foreign fund managers to raise money in Hainan for investments overseas.
Big Picture
The ESG Interview: Making Climate Data Comparable
By ESG Investor | 14/04/2021
IOSCO Chair Ashley Alder believes we’re in sight of “a real step change” in sustainability reporting, writes Chris Hall at ESG Investor.
AML / KYC
Thailand to Require UBO Transparency in Bond Markets
By Editors | 14/04/2021
Non-residents who invest in debt securities in Thailand are required to open Segregated Securities Accounts with custodians at the UBO level.
Securities / Derivatives
FSB Issues Guidance on Implementing SFT Data Standards
By Editors | 13/04/2021
The FSB has published FAQs to help national authorities implement the SFT Data Standards to facilitate global collection and aggregation of SFT data.
Enforcement
SEBI Fines Yes Bank, Three Others for Mis-selling AT1 Bonds
By Editors | 13/04/2021
SEBI says Yes Bank misled individual investors into buying risky AT1 bonds and did not inform them of the risks involved or conduct risk profiling.
Enforcement
Australian Charged With Insider Trading Over Diamond Discovery
By Editors | 13/04/2021
The man traded while in possession of inside information relating to a diamond discovery by Lonrho Mining in Africa in 2012.
Enforcement
Nomura Establishes Internal Team to Probe Archegos Loss
By Sanday Chongo Kabange | 13/04/2021
Nomura has set up the team to look into the bank’s risk management practices. It plans to disclose details of Archegos loss in late April.
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