Securities / Derivatives

Crypto / Digital Assets

Thai SEC Directs Listed Companies to Disclose Crypto Investments

By Pongnut Thanaboonchai | 25/09/2021

Disclosures should be made through the SET’s online portal, company websites, annual registration statements and annual reports.

Securities / Derivatives

Thailand’s SEC to Simplify Fund Disclosure Requirements

By Pongnut Thanaboonchai | 23/09/2021

The SEC said the information contained in prospectuses and factsheets is repetitive and redundant, making it difficult for investors to digest the information.

Enforcement

ASIC Warns of Social Media ‘Pump and Dump’ Campaigns

By Editors | 23/09/2021

ASIC calls on market participants and listed companies to be on the lookout for and report suspected ‘pump and dump’ activity in listed securities.

Securities / Derivatives

RBI Finalises Guidelines for OTC Derivatives Market Makers

By Manesh Samtani | 23/09/2021

The guidelines impose requirements on governance, dealing conduct, risk management, internal control, internal audit and record-keeping.

AML / KYC

CFTC Investigates Binance for Possible Insider Trading

By Manesh Samtani | 22/09/2021

Binance reportedly has plans to become a licensed financial institution, with a centralised headquarters, to make it easier to work with regulators.

Securities / Derivatives

New Beijing Exchange Sets Out Investor Eligibility Requirements

By Editors | 22/09/2021

Personal investors must have assets worth CNY 500,000 in securities and funds accounts, and at least two years of investment experience, to trade on the new exchange.

Securities / Derivatives

SEC Philippines Creates Office to Facilitate Capital Raising by SMEs

By Sanday Chongo Kabange | 22/09/2021

The new office will simplify capital raising, streamline registration processes, and promote SME-friendly underwriting and advisory programmes at FIs.

Big Picture

IMF Calls for Action to Boost Investment Fund Resilience

By Editors | 22/09/2021

Measures proposed in a new IMF staff paper include enhanced liquidity management tools, redemption frequency limits, and the use of swing pricing to disincentivise early exits.

Market Infrastructure

Valuations of ESG Assets May be Stretched, BIS Warns

By Manesh Samtani | 21/09/2021

The BIS compares the ESG boom to railroad stocks in the mid-1800s, internet stocks during the dotcom bubble, and MBS during the GFC.