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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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