SECURITIES / DERIVATIVES

    Securities / Derivatives

    SFC Sets Out Rules for Quarantine-free Travel to Mainland

    By Manesh Samtani | 14/12/2021

    Staff or directors of licensed corporations whose main purpose of travel is for the management of the firm’s Mainland business are eligible.

    Fintech / Regtech

    Bursa Malaysia Concludes Dematerialised Structured Warrants PoC

    By Manesh Samtani | 14/12/2021

    The PoC demonstrated that smart contracts can help to enable parties to share standardised and automated business processes and enable increased workflow efficiency.

    Securities / Derivatives

    US Sanctions Force Chinese AI Firm to Postpone HK IPO

    By Manesh Samtani | 13/12/2021

    The US Treasury placed Chinese AI firm SenseTime on an investment blacklist just as the company was preparing to list in Hong Kong.

    ESG / Sustainability

    Thai SEC Consults on Disclosure Guidance for SRI Funds

    By Editors | 13/12/2021

    Disclosures should include an investment strategy that details the securities analysis and selection process and investment benchmarks used.

    Securities / Derivatives

    SEBI Seeks to Regulate Algo Trading by Retail Investors

    By Editors | 13/12/2021

    SEBI is concerned that investors are increasingly using unregulated third party applications and algorithms to automate decision-making and trading.

    AML / KYC

    CSRC to Enhance Account Management in Securities Industry

    By Darien Choong | 13/12/2021

    A pilot project has been initiated with 10 securities firms to optimise their account management functions and ensure the safety of customer funds.

    ESG / Sustainability

    HK Bourse Finalises New Rules on Governance, Board Diversity

    By Editors | 13/12/2021

    Amended corporate governance code and listing rules will require firms to ensure board independence, refreshment, and diversity from 1 January 2022.

    ESG / Sustainability

    PBOC Reiterates Commitment to Hong Kong Financial Centre

    By Sanday Chongo Kabange | 13/12/2021

    Key areas of collaboration to enhance Hong Kong’s roles as an international financial centre include CBDC, regtech, green finance development.

    ESG / Sustainability

    Japan Unlikely to Issue Sovereign ESG Bonds in the Near Future

    By Sanday Chongo Kabange | 13/12/2021

    Issuing ESG bonds separately from conventional JGBs could make the process of borrowing money less efficient, said finance ministry official Masato Kanda.

    Press Release

    Regulation Asia Awards for Excellence 2021 – Results Announcement

    By Editors | 10/12/2021

    Regulation Asia held its fourth annual Awards ceremony on 9 December 2021. Here we explain our methodology and announce the winners for the year.

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