Securities / Derivatives

Enforcement

SFC Bulletin Shows Sponsor Conduct Still Top-of-mind

By Editors | 07/02/2020

The Regulatory Bulletin offers case studies illustrating the SFC’s key areas of concern and recent regulatory interventions in IPO applications and corporate transactions.

Securities / Derivatives

SGX RegCo Offers Guidance as New Disclosure Rules Take Effect

By Editors | 07/02/2020

Listed companies should have robust and effective internal controls in place to assess material information requiring disclosure, says SGX RegCo chief Tan Boon Gin.

Securities / Derivatives

NAFMII Enables ‘Green Channel’ Bond Issuance Amid Virus Outbreak

By Editors | 07/02/2020

NAFMII will support companies affected by the coronavirus outbreak and those helping to contain it by enabling a ‘green channel’ for fundraising and debt issuance.

Securities / Derivatives

SEBI Tightens Disclosure Standards for Alternative Investment Funds

By Editors | 07/02/2020

SEBI has set out minimum disclosure standards and introduced mandatory performance benchmarking for alternative investment funds.

Enforcement

SFC Imposes One-Year Ban on RHB Securities Analyst

By Editors | 06/02/2020

The analyst traded stocks covered in research reports he prepared through his father’s securities trading account held at another brokerage.

Securities / Derivatives

India Streamlines FPI Registration Process

By Editors | 05/02/2020

The new ‘Common Application Form’ can be used for three purposes – FPI registration with SEBI, PAN issuance by the CBDT, and KYC for account opening with intermediaries.

Securities / Derivatives

SEBI Asks Exchanges to Review Commodity Derivatives Performance

By Editors | 05/02/2020

Performance reviews of commodity derivatives contracts should be conducted each year to ensure alignment with the physical markets.

Securities / Derivatives

SGX, IPOS Launch Joint Initiative to Unlock Value from Intangible Assets

By Editors | 05/02/2020

Until end-2020, a pilot programme will help companies undergo an evaluation and audit process to assess their intangible assets as indicators of business value.

Securities / Derivatives

Hong Kong PE Firms Should Reassess Licensing Obligations

By Michael P Wong | 05/02/2020

Hong Kong private equity firms should reassess whether they have complied with licensing requirements in light of new guidance from the SFC, says Dechert partner Michael Wong.