SECURITIES / DERIVATIVES

Enforcement

FSC Korea Consults on Enforcement of New Consumer Protection Law

By Sanday Chongo Kabange | 29/10/2020

The key enforcement proposals relate to consumer rights, the types of firms under scope, and the reach of the new legislation, and the penalties that can be imposed.

Securities / Derivatives

Dhaka Bourse Trials Pre-Opening, Post-Closing Sessions

By Duruthu E Chandrasekera | 28/10/2020

BSEC Executive Director Mohammad Saifur Rahman told Regulation Asia the pre-opening and post-closing sessions will be effective as early as next month.

ESG / Sustainability

Due Diligence Questions at the Dawn of the Era of Sustainability

By ESG Investor | 28/10/2020

Experts from Refinitiv, Panarchy Partners and Deep Learning Investments respond to audience questions on due diligence challenges following recent webinar.

Market Infrastructure

China Explores Rule Relaxations to Facilitate Cross-Border Investment

By Manesh Samtani | 28/10/2020

China’s regulators are working to further relax restrictions on cross-border investment and create new channels for domestic and foreign investors alike.

Securities / Derivatives

CSRC Updates Rules to Protect Convertible Bond Investors

By Editors | 28/10/2020

Trading venues will have to develop an investor suitability management system, and securities firms will have to conduct client suitability assessments.

Capital / Liquidity

MAS Seeks Removal of REIT Manager for SFA Breaches

By Editors | 27/10/2020

Eagle Hospitality REIT Management breached the minimum base capital and financial resources requirements under the SFA three times in the span of about a year.

Enforcement

Singapore: Ex-Fund Manager Charged for Acts Likely to Defraud Investors

By Editors | 27/10/2020

The former fund manager allegedly sold bonds at lower-than-market prices from one fund he managed to another fund, knowing there were higher offers for the same bonds.

Securities / Derivatives

FSS Bans Unlicensed Investment Advice on Online Chatrooms

By Editors | 27/10/2020

Unlicensed advisers are barred from giving one-on-one investment advice to clients, but chat rooms have been serving as platforms for illegal consulting.

Securities / Derivatives

DCE Solicits Opinions on Amended RBD Palm Olein Futures Rules

By Sanday Chongo Kabange | 27/10/2020

The new rules are aimed at providing certainty and appeal for overseas market participants to participate in the DCE’s RBD palm olein futures market.