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Securities / Derivatives
US SEC Shines Spotlight on Executive Compensation
By ESG Investor | 30/08/2022
US companies will be required to disclose information reflecting the relationship between executive compensation and the financial performance.
Enforcement
Korean Regulators Start Short-selling Inspections at Foreign Firms
By Editors | 30/08/2022
The FSS has launched an inspection of Morgan Stanley’s short-selling practices. Similar inspections at BAML and Goldman Sachs will come next.
Market Infrastructure
US, Chinese Authorities Sign Audit Cooperation Deal
By Manesh Samtani | 29/08/2022
PCAOB inspectors will be on the ground in Hong Kong by mid-September to conduct their inspections of auditors of US-listed Chinese firms.
Securities / Derivatives
ICE to Launch UK Carbon Allowance Options in October
By Editors | 28/08/2022
UK Carbon Options will provide a new tool for managing carbon emissions price risk, building upon the launch of UK carbon allowance futures in May 2021.
Securities / Derivatives
BOE Confirms Plans to Remove USD LIBOR Contracts from DCO
By Editors | 26/08/2022
The BOE will add SOFR overnight index swaps to the scope of contracts subject to the derivatives clearing obligation and remove USD LIBOR contracts in April 2023.
Market Infrastructure
US, China Nears Deal to Resolve Long-running Audit Dispute
By Editors | 26/08/2022
The CSRC has informed some accounting firms that US regulators may be visiting Hong Kong in September to inspect the audit records of US-listed Chinese companies.
ESG / Sustainability
CSRC Directs Stock Exchanges to Amend Green Bond Rules
By Editors | 26/08/2022
The rule changes would require green bond issuers use 100 percent of proceeds on green projects, compared to 70 percent currently.
Fintech / Regtech
JPX, AWS Partner to Enhance Capital Market Attractiveness
By Editors | 25/08/2022
New initiatives include enhanced infrastructure resilience, the creation of a product development environment, and enhanced collaboration with start-ups.
AML / KYC
MAS Issues AML Guidance for External Asset Managers
By Manesh Samtani | 25/08/2022
The guidance covers governance, risk assessment frameworks, customer due diligence, enhanced CDD, and suspicious transaction reporting.
Enforcement
MAS Fines Noble Group Over Misleading Financial Statements
By Editors | 25/08/2022
The S$12.6mn fine is understood to be the largest fine for the publication of misleading financial statements in Singapore’s history.
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