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Supervision & Enforcement
BaFin Faces Criminal Probe Over Wirecard Response
By Sanday Chongo Kabange | 14/04/2021
BaFin has been under fire since mid-last year for failing to properly respond to multiple red flags signalling an accounting fraud at Wirecard.
Trading & Investment
US SEC Identifies Accounting Issues with SPAC Listings
By Sanday Chongo Kabange | 14/04/2021
Some warrants issued to early SPAC investors may have been recorded as equity instruments when they should have instead been recorded as liabilities.
Trading & Investment
China: SAFE Approves $5b in QDLP Quotas for Hainan
By Sanday Chongo Kabange | 14/04/2021
The QDLP pilot programme will enable foreign fund managers to raise money in Hainan for investments overseas.
Operational Risk
Mizuho Head to Turn Down JBA Chairmanship – Report
By Editors | 14/04/2021
Mizuho Financial Group president and group CEO Tatsufumi Sakai was due to take over as JBA chairman on 1 April.
Cloud & Infrastructure
China: CFCA Starts to Embed LEIs in Digital Certificates
By Manesh Samtani | 14/04/2021
The China Financial Certification Authority has also become the first certification authority to become a validation agent in the Global LEI System.
Conduct, Culture & Accountability
ASIC Sets Expectations on New Complaints Handling Obligations
By Ranamita Chakraborty | 14/04/2021
ASIC plans to check in with industry at various stages of RG 271’s implementation and assess whether its expectations about preparation are being met.
Cloud & Infrastructure
Korea Enhances Regulatory Sandbox Through Legislative Revisions
By Manesh Samtani | 13/04/2021
The revisions will allow sandbox participants to file requests to the FSC and other relevant authorities for changes to regulations.
Trading & Investment
FSB Issues Guidance on Implementing SFT Data Standards
By Editors | 13/04/2021
The FSB has published FAQs to help national authorities implement the SFT Data Standards to facilitate global collection and aggregation of SFT data.
Conduct, Culture & Accountability
SEBI Fines Yes Bank, Three Others for Mis-selling AT1 Bonds
By Editors | 13/04/2021
SEBI says Yes Bank misled individual investors into buying risky AT1 bonds and did not inform them of the risks involved or conduct risk profiling.
Structural Regulation
Regulators Order Ant Group to Establish Financial Holding Company
By Manesh Samtani | 12/04/2021
Ant Group will have to accept greater regulatory supervision, improve its corporate governance, and separate some of its businesses.
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