Securities / Derivatives

    Securities / Derivatives

    Vanguard Scraps Plans to Obtain China Mutual Fund Licence

    By Editors | 18/03/2021

    Vanguard says the mutual funds market is “fairly crowded” and that it would instead focus on a JV with Ant Group providing robo-advisory services to retail investors.

    Capital / Liquidity

    SEC Thailand Proposes Measures to Protect Funds from Panic Selling

    By Editors | 18/03/2021

    The SEC is considering imposing conditions for investors seeking to redeem mutual fund units, among other measures to enhance liquidity management at funds.

    ESG / Sustainability

    CFTC Establishes New Dedicated Unit for Climate Risk

    By Editors | 18/03/2021

    Other US financial regulators including the SEC, Treasury Department and Federal Reserve have also recently raised climate risk and a key focus.

    Securities / Derivatives

    PSE Proposes Tighter Rules for Listings via Reverse Takeover

    By Editors | 17/03/2021

    Companies will be required to conduct a public offering of at least 10 percent of their shares within one year from closing a transaction that results in a backdoor listing.

    Securities / Derivatives

    Taiwan FSC Directs More Firms to File Reports in English

    By Editors | 17/03/2021

    A total of 657 listed companies are required to file English-language reports this year, up from 351 firms last year.

    Securities / Derivatives

    SEC Thailand Introduces New Securities Licence Types

    By Editors | 17/03/2021

    The two new licences are for firms that serve as intermediaries only for equity instruments, and for firms managing private funds.

    Securities / Derivatives

    PSE Proposes Alternative Listing Option for Businesses

    By Sanday Chongo Kabange | 17/03/2021

    The new rule will allow businesses to raise funds on the exchange by listing their preferred shares without listing their common shares.

    AML / KYC

    UPDATED – US Federal Judge Lifts Investment Ban Against Xiaomi

    By Manesh Samtani | 17/03/2021

    The judge said there was no evidence of Xiaomi sharing information with the Chinese government, and that the ban deprived the company of its right to due process.

    Big Picture

    DTCC Proposes Plan to Harmonise Global Trade Reporting

    By Manesh Samtani | 17/03/2021

    DTCC proposes plan to eliminate cross-jurisdictional differences in trade reporting standards to boost transparency and the monitoring of systemic risk.

    Fintech / Regtech

    SGX, Marex Spectron Join Forces on Ferrous Analytics Tools

    By Editors | 17/03/2021

    Marex Spectron will apply its analytics tools on publicly available data for SGX commodity derivatives to provide Titan OTC participants with in-depth analysis and richer datasets

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