Securities / Derivatives

    Enforcement

    Hong Kong: Appeals Tribunal Overturns Ban Against UBS Banker

    By Editors | 07/06/2021

    The SFAT concluded that the former UBS banker cannot be held personally responsible for the failings of the China Metal Recycling transaction team.

    Securities / Derivatives

    SEBI Enters MOU with Luxembourg Securities Regulator

    By Editors | 07/06/2021

    The MOU will facilitate mutual assistance, supervisory cooperation, and effective enforcement in the securities markets.

    Securities / Derivatives

    SEBI Defers Fund Disclosure Rule by Three Months

    By Editors | 04/06/2021

    New rules for the disclosure of scheme risk-o-meters, performance and portfolio details will be implemented on 1 September instead of 1 June.

    AML / KYC

    Biden Executive Order Amends, Clarifies China Blacklist

    By Manesh Samtani | 04/06/2021

    The revised EO is clearer, addresses many of the problem areas in the old EO, and is more enforceable, says Nick Turner at Steptoe & Johnson.

    Securities / Derivatives

    China’s SAFE Awards $10.3bn Worth of New QDII Quotas

    By Editors | 04/06/2021

    The new quotas, awarded to 17 institutions, represent the largest approval by SAFE in the history of the QDII scheme.

    Market Infrastructure

    Singapore Seeks to Enhance VCC Fund Structure

    By Manesh Samtani | 04/06/2021

    The enhancements will expand the types of investors that can use the VCC and ease conversion and redomiciliation processes.

    Securities / Derivatives

    SEBI Raises Overseas Investment Limits for Mutual Funds

    By Editors | 03/06/2021

    The overseas investment limit was raised from $600mn to $1bn. For investments in overseas ETFs, the limit was raised from $200mn to $300mn.

    Securities / Derivatives

    Hong Kong Passes Bill to Increase Stamp Duty on Stock Trades

    By Manesh Samtani | 03/06/2021

    HKEX has asked market participants to prepare their systems in preparation for the 1 August stamp duty increase.

    ESG / Sustainability

    Transparency & Data Needed to Fuel Green Equity Growth

    By ESG Investor | 03/06/2021

    The evolving asset class still presents risks due to differing definitions, transparency levels and data quality, according to panellists at an ASIFMA conference.

    Securities / Derivatives

    Philippine SEC Issues Draft Guidelines for ASEAN CIS Framework

    By Editors | 03/06/2021

    The draft guidelines will operationalise the supplemental MOU signed last month to admit the Philippines to the ASEAN CIS framework.

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