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Securities / Derivatives
DBS, Temasek to Launch Debt Financing Platform, EvolutionX
By Editors | 01/08/2021
The new platform will help founder entrepreneurs avoid dilution of share equity in their companies’ initial stages of development.
AML / KYC
Regulatory Pressure on Binance Builds With Malaysia Ban
By Manesh Samtani | 01/08/2021
Malaysia’s SC has announced enforcement actions. Binance is winding down its derivatives business in Europe. India is probing its involvement in a betting probe.
Securities / Derivatives
CSRC Grants Citigroup Approval to Launch Custody Business
By Editors | 01/08/2021
The licence allows Citi to provide custody services for fund products issued by fund firms or other asset managers in China.
Sanctions
State Street Updates TraHK Prospectus as US Sanctions Take Effect
By Sanday Chongo Kabange | 01/08/2021
In an addendum, State Street says TraHK units will not be offered or sold in the US or to US persons located outside the US.
Securities / Derivatives
CSRC Releases Latest Grades for Securities Firms
By Manesh Samtani | 01/08/2021
Goldman Sachs Gaohua Securities, Morgan Stanley Huaxin, and Credit Suisse Founder Securities made the list for the first time.
Securities / Derivatives
US SEC to Require New Disclosures from Chinese Issuers
By Manesh Samtani | 31/07/2021
Chinese issuers with VIE structures will have to “prominently and clearly” disclose that they face uncertainty about future actions by the Chinese government.
Market Infrastructure
ASX Launches Compression Service for OTC Derivatives
By Ranamita Chakraborty | 30/07/2021
In recent years, demand for compression services has risen as market participants look to lower capital costs associated with balance sheet-intensive derivatives.
Market Infrastructure
Family Offices Should Start Behaving Like Regulated Entities
By Marie Gervacio | 30/07/2021
Family offices should be reviewing their governance and risk management frameworks in light of the Archegos collapse, says Marie Gervacio.
Enforcement
CSRC Fines ByteDance Employee for Insider Trading
By Sanday Chongo Kabange | 30/07/2021
The CSRC fined the ByteDance employee nearly nine times the profit he made from trading shares on insider information.
Securities / Derivatives
Independent Report Finds Risk Control Failures at Credit Suisse
By Sanday Chongo Kabange | 30/07/2021
The report indicates that the risks were known, but responsible parties in the first and second lines simply failed to act.
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