Securities / Derivatives

    Securities / Derivatives

    IOSCO Highlights Need for Reliable Going Concern Disclosures

    By Ranamita Chakraborty | 25/03/2021

    Securities regulators will continue to enforce requirements to recognise, measure and disclose uncertainties about an entity’s ability to continue as a going concern.

    ESG / Sustainability

    ICMA Calls for ESG Metrics, Standards for Securitised Assets

    By Editors | 25/03/2021

    Unless ABS investors have better access to standardised and relevant data, they will be unable to appraise ESG risks and satisfy sustainability objectives.

    Securities / Derivatives

    CSRC Issues Revised Disclosure Rules for Listed Companies

    By Editors | 25/03/2021

    The new rules introduce additional safeguards against insider trading and improve the timing of disclosure of major events.

    Securities / Derivatives

    HK OTC Derivatives Licensing Regime Closer to Implementation

    By Scott Carnachan | 25/03/2021

    Amendments to Hong Kong’s OTC derivatives licensing regime have been introduced in LegCo. Scott Carnachan at Deacons discusses the changes.

    Enforcement

    CSRC Bans Haitong Securities from Advisory Work for One Year

    By Editors | 25/03/2021

    The CSRC said Haitong did not effectively control risk in its bond business dealings, which resulted in Yongcheng Coal’s CNY 1 billion default.

    Securities / Derivatives

    US SEC Consults on ‘Holding Foreign Companies Accountable’ Rules

    By Editors | 25/03/2021

    The SEC is seeking public comments on its process for identifying companies that fail to meet the new standards, as well as submission and disclosure requirements.

    Enforcement

    SFC Fines GEO Securities for Breaching Licence Conditions

    By Editors | 25/03/2021

    The firm also did not have effective controls in place for product due diligence, client risk tolerance assessment, and record-keeping.

    ESG / Sustainability

    ISLA Pledges to Support ESG Objectives in Securities Lending

    By Sanday Chongo Kabange | 24/03/2021

    ISLA says it will lead workstreams on five key action points to help share the securities lending market’s response to ESG challenges.

    Market Infrastructure

    SEBI Issues Guidelines for MIIs on Handling Disruptions

    By Sanday Chongo Kabange | 24/03/2021

    The new guidelines follow last month’s trading halt at the NSE. The exchange has submitted a root cause analysis to SEBI.

    Enforcement

    Malaysia SC Probes Share Disposals by AmBank Execs

    By Sanday Chongo Kabange | 23/03/2021

    Seven executives sold a combined MYR 1.63 million in shares on the same two days in December, just two months ahead of AmBank’s 1MDB settlement.

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