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AML / KYC
Investors Accuse BSEC Chairman of Embezzlement, Money Laundering
By Editors | 24/08/2019
The chairman of Bangladesh’s securities regulator is alleged to have approved IPOs for companies that falsified their financial statements to show higher profitability.
Market Infrastructure
SFC Highlights Liquidity Risk Management Deficiencies at Funds
By Editors | 24/08/2019
The SFC asks fund managers to review their current policies, procedures, systems and processes and take immediate action to rectify any inadequacies or deficiencies.
Securities / Derivatives
SEBI Eases Requirements for FPI Registration
By Editors | 23/08/2019
SEBI has consolidated 57 circulars and 183 FAQs issued over the years into a single circular for FPIs, easing several requirements in the process.
Securities / Derivatives
ASIC Proposes Ban on Binary Options, Restrictions on CFDs
By Editors | 23/08/2019
In 2018, licensed binary options and CFD issuers made about $2bn from these products, largely attributed to retail client losses, fees and costs.
Enforcement
SEBI Targets Insider Trading with Informant Reward Mechanism
By Editors | 22/08/2019
Whistleblowers will be eligible for rewards up to $139,000 and, if culpable themselves, for amnesty or settlement with SEBI.
Securities / Derivatives
SZSE ChiNext Board to Adopt Registration Based IPO System
By Editors | 22/08/2019
Shenzhen’s ChiNext board has begun work to prepare for adoption of a registration-based IPO system, currently in use at Shanghai’s new tech board.
Market Infrastructure
Goldman Files Application to Control China Securities JV
By Editors | 22/08/2019
Goldman is seeking to bring its China business in line with its operations in other parts of the world – as its local partner folds its operations into the joint venture.
Market Infrastructure
WFE Explores Sustainability Standards for Commodity Markets
By Editors | 22/08/2019
In a new white paper, the WFE explores potential ways for commodity derivatives exchanges to address the impact of sustainability.
Enforcement
CSRC Fines Four Individuals for Spreading False News
By Editors | 22/08/2019
The individuals, including a news editor, were fined for spreading ‘fabricated’ news that the CSRC blames for stock market declines in late January.
Securities / Derivatives
BNM Extends Range of Securities Eligible for Repo
By Editors | 21/08/2019
BNM’s draft policy document proposes to extend the maximum tenor of a repo to five years from 365 days previously, and to expand the securities that are eligible for repo.
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