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Securities / Derivatives
Malaysian Regulators Ask Auditors to Up Their Game
By Ranamita Chakraborty | 04/08/2021
Audit engagements which required further evaluation and investigation in 2020 were found to have weak auditing procedures and lacked professional scepticism.
AML / KYC
US Investment Ban on 59 Chinese Companies Takes Effect
By Editors | 04/08/2021
US persons that have not yet divested their holdings in 59 companies that operate in the defence or surveillance technology sectors have until 3 June 2022 to do so.
Securities / Derivatives
Bursa Malaysia Proposes Listing Rule Changes to Enhance ACE Market
By Manesh Samtani | 03/08/2021
Sponsor eligibility requirements will be liberalised to make available a wider pool of qualified corporate finance advisers to act as sponsors for the ACE Market.
Enforcement
Hong Kong SFC Fines UBS Over Regulatory Breaches
By Editors | 03/08/2021
The breaches involve research report disclosures, telephone recordings, client derivatives knowledge assessments, and structured product sales.
AML / KYC
US House Bill Offers Regulatory Framework for Crypto
By Manesh Samtani | 02/08/2021
The bill would give the SEC authority over digital asset securities, the CFTC authority over digital assets, and the Fed authority to issue a digital dollar.
Market Infrastructure
OSE, TOCOM Set to Launch J-GATE 3.0 on 21 September
By Editors | 02/08/2021
The next-generation derivatives trading system known as J-GATE3.0 will go live on 21 September 2021.
Enforcement
Korea: Daishin Securities Ordered to Compensate Lime Investors
By Editors | 02/08/2021
Daishin Securities is asked to compensate investors up to 80% of losses after it missold funds managed by Lime Asset Management.
Securities / Derivatives
ISDA, ICMA, ISLA Sign MoU on Common Domain Model
By Editors | 02/08/2021
The MoU establishes a framework for closer collaboration on the development of the Common Domain Model across financial markets.
Securities / Derivatives
APRA Raises Expectations on Superannuation Entities
By Editors | 02/08/2021
APRA has written to RSE licensees describing their key obligations in light of the introduction of the Your Future, Your Super reforms.
Enforcement
Westpac Insider Trading Case May Not Be Heard Until 2023
By Editors | 01/08/2021
A proposed February 2022 trial date will not be feasible as Westpac will have to be allowed sufficient time to review expert evidence.
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