Securities / Derivatives

    Securities / Derivatives

    Malaysia Grants Fee Waivers, Rebates on Listing Related Fees

    By Editors | 21/03/2021

    Processing fees, prospectus registration fees, initial fees and annual listing fees will be provided to companies seeking a listing, while companies already listed can receive rebates.

    Securities / Derivatives

    New Financial Consumer Protection Law to Take Effect in Korea

    By Sanday Chongo Kabange | 21/03/2021

    The law expands consumer rights, raises penalties for breaches, and requires FIs to set up internal controls to protect consumers.

    ESG / Sustainability

    Malaysia SC Outlines Capital Market Plans for 2021

    By Sanday Chongo Kabange | 21/03/2021

    The SC said it will launch its five-year Capital Market Masterplan 3 in H2 2021, strengthen its regulatory capabilities, and streamline conduct requirements.

    Enforcement

    ASIC Bans Director, Account Managers at FX Broker

    By Editors | 21/03/2021

    Clients were pressured to deposit funds into their trading accounts, engage in high-risk trading, and delay or cancel withdrawal requests.

    Enforcement

    New York Court Reinstates SIBOR Manipulation Lawsuit

    By Editors | 19/03/2021

    The case is being reinstated to allow Fund Liquidation Holdings LLC to pursue claims against 18 banks on behalf of two defunct funds that initially launched the lawsuit.

    Securities / Derivatives

    Vanguard Scraps Plans to Obtain China Mutual Fund Licence

    By Editors | 18/03/2021

    Vanguard says the mutual funds market is “fairly crowded” and that it would instead focus on a JV with Ant Group providing robo-advisory services to retail investors.

    Capital / Liquidity

    SEC Thailand Proposes Measures to Protect Funds from Panic Selling

    By Editors | 18/03/2021

    The SEC is considering imposing conditions for investors seeking to redeem mutual fund units, among other measures to enhance liquidity management at funds.

    ESG / Sustainability

    CFTC Establishes New Dedicated Unit for Climate Risk

    By Editors | 18/03/2021

    Other US financial regulators including the SEC, Treasury Department and Federal Reserve have also recently raised climate risk and a key focus.

    Securities / Derivatives

    PSE Proposes Tighter Rules for Listings via Reverse Takeover

    By Editors | 17/03/2021

    Companies will be required to conduct a public offering of at least 10 percent of their shares within one year from closing a transaction that results in a backdoor listing.

    Securities / Derivatives

    Taiwan FSC Directs More Firms to File Reports in English

    By Editors | 17/03/2021

    A total of 657 listed companies are required to file English-language reports this year, up from 351 firms last year.

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