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Enforcement
Hong Kong: Six Current & Former Directors Fined Over Inside Information
By Editors | 14/05/2021
Timely disclosure of inside information is central to the orderly operation of the market and underpins a fair and informed market, the SFC said.
Securities / Derivatives
China: NAFMII Revises Rules for Credit Derivatives
By Editors | 14/05/2021
The rules remove a restriction that prohibited CDS and CLN from being linked to instruments other than non-financial corporate debt.
Securities / Derivatives
SEC Thailand Issues Guidelines for Distressed Bond Funds
By Editors | 13/05/2021
Only institutional and ultra-HNW investors will be allowed to invest in distressed bond funds, which will be non-redeemable but have a maturity date prescribed.
Securities / Derivatives
CBIRC Green-lights BlackRock-CCB Wealth Management Venture
By Editors | 13/05/2021
The wealth management JV is 50.1% owned by BlackRock, 40% by China Construction Bank’s wealth management subsidiary, and 9.9% owned by Temasek.
Securities / Derivatives
Taiwan FSC to Launch Inspections at FIs to Assess Sales Practices
By Editors | 13/05/2021
The FSC will conduct inspections at 10 banks, 6 credit unions, 6 insurers and 3 securities firms to check whether they have sold high-risk products to seniors.
Securities / Derivatives
SEBI Panel Offers Recommendations on Social Stock Exchange Listings
By Ranamita Chakraborty | 12/05/2021
A technical group was set up last September to develop a framework for on-boarding non-profit organisations and for-profit social enterprises on social stock exchanges.
Securities / Derivatives
ASX Finalises Enhancements to Client Money Framework
By Ranamita Chakraborty | 12/05/2021
Subject to the regulatory clearance, the enhanced client money framework will come into effect on 2 August 2021, with a 12-month transition period.
ESG / Sustainability
SEBI Enhances Sustainability Reporting Rules for Listed Entities
By Manesh Samtani | 12/05/2021
The new Business Responsibility and Sustainability Reports will contain disclosures relating to ESG risks, sustainability performance, environmental metrics, and social factors.
Securities / Derivatives
China to Launch RBD Palm Olein Options, Open to Foreign Investors
By Editors | 12/05/2021
The DCE is consulting on a new RBD Palm Olein options contract that will be open to foreign investors, as well as an adjustment to its iron ore futures contract.
Securities / Derivatives
Shanghai, Korea Agree to Establish ETF Cross-Listing Mechanism
By Editors | 12/05/2021
Under an MoU, the SSE and KRX will work towards ETF cross-listings, joint development of indices, and stronger cooperation in the bond market.
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