SECURITIES / DERIVATIVES

    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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