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Enforcement
Global Regulators Heighten Scrutiny Over ESG Mislabelling – Reports
By Sanday Chongo Kabange | 09/09/2021
Increased scrutiny from US, EU and UK regulators have forced asset managers to review current practices for classifying funds as ESG-focused.
Market Infrastructure
Sri Lanka Passes New SEC Act to Bolster Capital Market
By Duruthu E Chandrasekera | 09/09/2021
SEC chairman Viraj Dayaratna described the new law as “futuristic”, saying it will help to increase market liquidity and attract foreign investment.
Enforcement
Korea FSS to Impose Penalties on 9 Market Makers
By Editors | 08/09/2021
Three foreign firms and six local firms are accused of disturbing market order through their negative influence on stock prices.
Securities / Derivatives
China: AMAC Approved Launch of First Pictet QDLP Fund
By Editors | 08/09/2021
The new fund will enable domestic investors in China to invest offshore in financially stressed and distressed companies, predominantly in Europe.
Market Infrastructure
SEBI to Introduce Optional T+1 Settlement Cycle from January
By Editors | 08/09/2021
Stock exchanges may choose to offer T+1 settlement on any scrip, after providing the market advance notice of at least one month.
ESG / Sustainability
Hong Kong Explores Role in Unified GBA Carbon Market
By Sanday Chongo Kabange | 08/09/2021
Hong Kong is exploring opportunities to establish a unified carbon market in the Greater Bay Area, leveraging the Guangdong ETS and Shenzhen ETS.
Enforcement
CSRC to Bolster Supervision of Securities, Fund Practitioners
By Sanday Chongo Kabange | 08/09/2021
The CSRC will organise on-site inspections to ensure securities and fund practitioners adhere to professional ethics obligations and improve governance.
Fintech / Regtech
IOSCO Publishes Final Guidance on Supervising AI/Machine Learning
By Editors | 08/09/2021
IOSCO members are encouraged to consider six measures carefully in the context of their legal and regulatory frameworks.
Securities / Derivatives
HKEX to Roll-out New Workflow for Derivatives Position Adjustments
By Editors | 07/09/2021
The enhancement will allow clearing participants to submit position adjustments requests directly at DCASS Online, replacing the existing paper-based workflow.
Enforcement
BaFin Joins US SEC, DOJ in Probing Collapsed Allianz Funds
By Ranamita Chakraborty | 07/09/2021
Allianz is facing probes from BaFin, SEC and DOJ, as well as 25 investor lawsuits, over last year’s collapse of its Structured Alpha Funds.
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