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ESG / Sustainability
Singapore Continues to Grow as Asia Pacific Gateway: MAS
By Manesh Samtani | 04/10/2020
As of mid-September, 120 VCCs have registered in Singapore, on top of 15.7% year-on-year growth in total AUM recorded at the end of 2019.
Securities / Derivatives
SFC Issues Guidance on E-dissemination of Product Documents
By Editors | 03/10/2020
Investors currently receiving paper investment product documents need to be notified at least one month before e-dissemination arrangements take effect.
Securities / Derivatives
SGX RegCo Publishes Regulatory Guide on Algorithmic Trading
By Manesh Samtani | 02/10/2020
The guide describes the governance, risk controls, and development and testing process that SGX members should have in place when using algorithms in trading.
Securities / Derivatives
SEBI Orders Faster Liquidation of Defaulting Brokers’ Assets
By Editors | 01/10/2020
Stock exchanges and clearing corporations should sell brokers’ securities if debit balances are not cleared in 5 days, and to sell other broker assets six months after the default.
Securities / Derivatives
Korea to Amend Law to Protect Private Equity Fund Investors
By Editors | 01/10/2020
The revisions will enhance oversight and risk assessment of private equity funds, and prevent illiquid funds from being marketed to retail investors.
ESG / Sustainability
First Chinese Sustainability Bond on Display at LuxSE’s Green Exchange
By Editors | 01/10/2020
The new $300mn issuance on display at LGX makes China Merchants Bank the first Chinese commercial bank to issue a sustainability bond.
Enforcement
CFTC Settles Charges Against Citi Over Deleted Audio Recordings
By Editors | 01/10/2020
Citi’s audio preservation system deleted more than 2.77 million audio files, including recordings that were subject to a December 2017 CFTC subpoena.
Market Infrastructure
CHESS Replacement ‘Critical’ to Manage Systemic Risk: RBA
By Editors | 01/10/2020
Replacing CHESS with more modern technology is critical to ASX’s ongoing management of systemic risk, said RBA assistant governor Michele Bullock.
Market Infrastructure
Hardware Failure Causes Full Day Closure at Tokyo Exchange
By Editors | 01/10/2020
The TSE apologised for inconvenience caused to investors and said it is replacing the faulty hardware. Trading is expected to resume Friday.
Enforcement
US Authorities Settle JP Morgan Spoofing Charges for $920m
By Editors | 01/10/2020
The settlement will fully resolve investigations carried out by the DOJ, CFTC and SEC into trades made over nearly ten years.
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