Securities / Derivatives

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.

ESG / Sustainability

New TSE Chief Eyes ESG Focus In Reorganisation Plan

By Sanday Chongo Kabange | 12/04/2021

Chief executive Hiromi Yamaji says the TSE will urge companies to step up efforts on ESG issues based on their market classification.

Securities / Derivatives

Thailand SEC Amends Rules for Capital Market Auditors

By Sanday Chongo Kabange | 12/04/2021

The experience requirement for auditors in the capital markets has been reduced from a minimum of 10 years to seven years.

Securities / Derivatives

PBOC Researchers Call for Establishment of Yuan Futures Market

By Editors | 11/04/2021

Offshore RMB rates are becoming increasingly influential, suggesting that they will play an even bigger role in pricing in future.

Securities / Derivatives

RBI Formalises Quantitative Easing Programme

By Editors | 10/04/2021

While the RBI has often purchased government securities, this is the first time it has committed to an amount upfront.