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Market Infrastructure
PBOC to Scrap Market Maker Approval Process in Interbank Market
By Sanday Chongo Kabange | 01/11/2020
The PBOC proposes to allow banks and securities firms to only sign an agreement with trading platforms to conduct market making business.
Enforcement
MAS Bans Two Former Bankers for Fraud, Dishonest Conduct
By Editors | 01/11/2020
The former OCBC treasury advisor placed unauthorised FX trades in client accounts, while the former UOB relationship manager made unauthorised bank transfers.
Securities / Derivatives
IFSCA Approves Bullion Trading Regulations for Gift City
By Sanday Chongo Kabange | 01/11/2020
The regulations provide guidelines on to functions, general obligations, ownership and governance structure for a bullion exchange and clearing corporation in Gift City.
Securities / Derivatives
US, Thailand Partner to Strengthen Infrastructure Finance
By Editors | 30/10/2020
The cooperative initiative will focus on the development of financial instruments, project finance, the local debt market, and capital markets.
Securities / Derivatives
PRI Offers Guidance on Asset Owner Relationships with Asset Managers
By ESG Investor | 30/10/2020
The new series offers guidance on the selection, appointment and monitoring of investment managers, reflect growing demand for sustainable investment.
ESG / Sustainability
Support for TCFD Climate Disclosure Recommendations Rising
By ESG Investor | 30/10/2020
Asset manager and asset owner reporting to clients and beneficiaries may not be sufficient, says a new report from the TCFD.
Enforcement
SFC Suspends Licence of Mason Securities Representative
By Editors | 30/10/2020
The former licensed representative said she had forgotten to declare an external securities trading account initially, and “could not be bothered to do so subsequently”.
ESG / Sustainability
AIMA, Simmons & Simmons Launch ESG Primer for Asia Fund Managers
By Editors | 30/10/2020
The primer contains key concepts and taxonomy, recent regulatory developments impacting Asia fund managers, and a checklist for developing an ESG strategy and roadmap.
Enforcement
Singapore Courts Charge Two for Cheating, False Trading
By Editors | 30/10/2020
Ex-KTL Global CEO Tan Kheng Yeow and OCBC Securities trading rep Tan Chun Yong are said to have been involved in a conspiracy for false trading.
ESG / Sustainability
SFC Proposes New Requirements for Fund Managers on Climate Risk
By Manesh Samtani | 29/10/2020
The proposed requirements for fund managers cover four key elements: governance, investment management, risk management and disclosure.
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