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Fintech / Regtech
MAS Targets Market Abuse, Misconduct, AML Control Breaches
By Editors | 04/11/2020
In its latest enforcement report, MAS highlights its work to strengthen early detection of market misconduct, including through Apollo, an augmented intelligence system.
Market Infrastructure
China Drafts Rules for National Carbon Emissions Trading Scheme
By Editors | 04/11/2020
Companies will have to issue emissions reports, subject to strict disclosure and verification requirements, which will be used to determine the allowances they can trade.
Enforcement
New Zealand FMA Proposes New Guidance on KiwiSaver Fees
By Editors | 04/11/2020
The proposed guidance sets out ongoing obligations for KiwiSaver schemes to regularly review their fees to ensure members not being charged unreasonable fees.
Securities / Derivatives
Chinese Regulators Force Suspension of Ant Group IPO
By Editors | 03/11/2020
The Shanghai and Hong Kong IPOs have been suspended following supervisory interviews with Jack Ma and two other executives. Ant was due to start trading on Thursday.
AML / KYC
Hong Kong to Align Crypto Regulatory Framework with FATF Standards
By Manesh Samtani | 03/11/2020
The government proposes to introduce a new licensing regime for VASPs that trade non-security tokens, and a registration regime for dealers in precious metals and stones.
Enforcement
Korean Prosecutors Raid Brokerage Firms Over Lime Asset Mis-selling
By Shruti Khairnar | 02/11/2020
Investigators from Seoul’s prosecution office raided the headquarters of Shinhan Investment Corp, Korea Investment & Securities, and KB Securities last week.
Enforcement
KRX Probes Market Makers’ Compliance With Short Selling Rules
By Editors | 02/11/2020
The inspection will cover all 22 market makers, focusing on whether they conducted naked short selling and whether they violated the uptick rule.
Market Infrastructure
China Further Opens Domestic Markets to Foreign Investors
By Manesh Samtani | 01/11/2020
Qualified foreign investors can lend out and borrow stock holdings to enable their use in short-selling, and trade equity index futures on the CFFEX.
Securities / Derivatives
HK to Allow Secondary Listings from Some Corporate WVR Companies
By Manesh Samtani | 01/11/2020
Subject to certain requirements, Greater China issuers primary listed on the Nasdaq, NYSE or the LSE’s premium listing segment will be allowed to secondary list in Hong Kong.
Securities / Derivatives
TSE Invites Firms to Register for New RFQ Platform for ETFs
By Editors | 01/11/2020
The new platform, CONNEQTOR, will be ready for production use next month, allowing institutional investors to send RFQs to market makers.
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