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Crypto / Digital Assets
Thailand SEC to Enhance Protections for Digital Asset Investors
By Editors | 01/03/2021
The SEC is consulting new qualifications for retail investors in digital assets, and requiring digital asset fund managers and investment advisors to be licensed.
Sanctions
NYSE Announces Decision to Delist Chinese Oil Major CNOOC
By Editors | 01/03/2021
The decision was made in light of Executive Order 13959, which was signed in November, and updated guidance provided by OFAC in January.
Crypto / Digital Assets
IOSCO Publishes Work Programme for 2021-2022
By Editors | 28/02/2021
New priorities will be to address the risks of NBFI activities and risks exacerbated by the Covid-19 pandemic such as misconduct, fraud and operational resilience.
Enforcement
FSC Korea Fines Ten Foreign Firms for Short Selling Violations
By Editors | 28/02/2021
The FSC did not name the firms that were penalised, but said the highest fine was KRW 180 million against a firm that committed four violations.
Enforcement
CSRC Issues Warning Letters to Audit, Asset Appraisal Firms
By Editors | 28/02/2021
Warning letters have been issued to 8 audit firms, 28 certified public accountants, 6 assessment agencies, 27 asset appraisers and 6 practitioners.
ESG / Sustainability
SGX, OneConnect Partner to Develop ESG Reporting Platform
By Editors | 26/02/2021
The platform will help SGX listed companies to efficiently manage their sustainability disclosures, make them more transparent, and improve overall ESG performance in the long run.
Market Infrastructure
New Initiatives Announced to Promote Hong Kong Capital Market
By Manesh Samtani | 25/02/2021
Paul Chan spoke of measures to boost green bond issuance, launch southbound Bond Connect, expand Stock Connect, and subsidise REITs, fund managers and family offices coming to Hong Kong.
Market Infrastructure
HK to Introduce Incentives for Insurance-linked Securities Issuance
By Ranamita Chakraborty | 25/02/2021
Under the proposed ILS Grant Scheme, the amount of grant for each issuance will be capped at HK$12mn, depending on the maturity of the ILS.
Enforcement
SFC, FRC to Enhance Regulatory Cooperation in Capital Markets
By Editors | 25/02/2021
Collaboration will be key to combat persistent problems with false or misleading financial statements and other corporate misconduct, said SFC Chairman Tim Lui.
Market Infrastructure
DTCC Proposes Move to T+1 in US Markets by Mid-2023
By Editors | 25/02/2021
In a new paper, DTCC outlines plans to modernise post-trade processes and facilitate an industry-wide shift to T+1 settlement in the equities market.
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