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Securities / Derivatives
FMA Clarifies Expectations on Use of Overseas Research in New Zealand
By Editors | 20/12/2020
Overseas firms without a New Zealand financial advice licence can supply research reports to licensed New Zealand firms, but not to retail clients.
Market Infrastructure
Philippine SEC to Mandate New Cybersecurity Rules for Capital Markets
By Editors | 20/12/2020
Regulated entities will have to create a separate Information Security Group and appoint a Chief Information Security Officer.
AML / KYC
ISDA Offers Guidance on Addressing Sanctions in Trading Agreements
By Editors | 20/12/2020
The guidance note helps parties consider whether it may be appropriate to include specific sanctions provisions in ISDA documentation.
Market Infrastructure
CSRC Issues Draft Rules on Cybersecurity Incident Handling
By Editors | 20/12/2020
The draft rules provide new standards for categorising cybersecurity incidents based on severity, enhance incident reporting efficiency, and introduce added flexibility for punishments.
Securities / Derivatives
SFC Consults on Amendments to Code on Pooled Retirement Funds
By Editors | 20/12/2020
Given the wide participation in Hong Kong by employers and employees in ORSO schemes which invest in PRFs, appropriate investor protection should apply.
Securities / Derivatives
Bursa Malaysia, Global Compact to Collaborate on Sustainability Agenda
By Editors | 20/12/2020
The collaboration will include the development of a Corporate Sustainability Competency Framework, which will serve as a reference for corporate sustainability professionals.
AML / KYC
PBOC Publishes Roadmap for Full LEI Adoption in China
By Manesh Samtani | 18/12/2020
By end 2022, LEIs will be used in securities and derivatives trading, risk monitoring, regulatory reporting, listed company supervision and the digital yuan ecosystem.
Securities / Derivatives
China Fund Managers Prepare to Launch Cross Market Bond ETFs
By Editors | 17/12/2020
Five fund managers have reportedly applied to launch bond index funds that can be traded on the Shanghai exchange, Shenzhen exchange, or the interbank market.
Enforcement
US SEC Settles Luckin Coffee Fraud Charges for $180m
By Editors | 17/12/2020
Luckin materially misstated its revenue, expenses, and net operating loss to falsely appear to achieve rapid growth and increased profitability, the SEC said.
Securities / Derivatives
Euroclear Bank, Japan Launch New Asset Class: ‘Origami Bonds’
By Editors | 17/12/2020
Japanese cities Kobe and Yokohama as well as Shizuoka Prefecture were the first three issuers to utilise the new Origami bond structure.
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