Securities / Derivatives

    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.

    Securities / Derivatives

    Chinese Banks Start to Restrict FX Services Amid Risk Concerns

    By Sanday Chongo Kabange | 07/09/2021

    State-owned lender Huaxia Bank has restricted some of its FX services amid regulatory concerns over yuan volatility.

    Securities / Derivatives

    Lessons in Operational & Credit Risk Management for Exchange Members

    By Boon Gin Tan | 07/09/2021

    SGX RegCo’s Boon Gin Tan and Grace Mok discuss findings from a survey of exchange members. A new guide on credit risk management has also been released.

    Securities / Derivatives

    Thai SEC Proposes to Streamline Bond Issuance Regulations

    By Pongnut Thanaboonchai | 07/09/2021

    Under the amendments, debt instruments must be issued within 6 months from the date the filing is approved, the SEC said.

    Market Infrastructure

    Hainan to Pilot Cross-Border Asset Management Trials

    By Sanday Chongo Kabange | 06/09/2021

    Hainan’s also plans also launch QFLP and QDLP trials and enhanced currency convertibility to facilitate cross-border trade and investment.

    Market Infrastructure

    CSRC Issues Draft Rules for Beijing Stock Exchange

    By Editors | 06/09/2021

    SMEs trading on the NEEQ for at least 12 months will qualify to list on the Beijing Stock Exchange, which will adopt the registration-based IPO system.

    Market Infrastructure

    Implementing the Final Phase of MAS’ OTC Derivatives Reporting Regime

    By Priya Kundamal | 06/09/2021

    Firms coming into scope on 1 October need to quickly complete onboarding and test their reporting to DTCC’s Singapore trade repository.

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