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Structural Regulation
Daiwa Securities Joint Venture Granted Beijing Business Licence
By Editors | 03/01/2021
The business licence makes Daiwa Securities (China) Co Ltd the fourth foreign-owned joint venture securities firm in Beijing.
Structural Regulation
China, EU Leaders Agree Bilateral Investment Treaty
By Editors | 03/01/2021
China will open multiple industries to EU businesses, removing joint-venture requirements, equity caps and forced technology transfers.
PEPs & Sanctions
OFAC Extends Chinese Military Company Ban to Subsidiaries
By Editors | 03/01/2021
In a set of FAQs, OFAC has clarified that Executive Order 13959 also applies to subsidiaries, derivatives, ETFs, index funds and mutual funds.
Sustainable Finance
Korea Set to Establish ‘New Deal’ Fund in March 2021
By Editors | 02/01/2021
The application process for private fund managers to set up and manage feeder funds under the New Deal fund began in December 2020.
Conduct, Culture & Accountability
Taiwan FSC Fines KGI Securities Over Poor Internal Controls
By Editors | 31/12/2020
The case relates to the August suicide of a former KGI Securities employee, who suffered large investment losses as a result of illegal futures trades for his clients.
Structural Regulation
Tokyo Bourse Reorganisation to Take Effect in April 2022
By Editors | 31/12/2020
Companies will be able to choose which section they want to be listed on between September and December 2021, and JPX will announce the results in January 2022.
Conduct, Culture & Accountability
IOSCO Issues Guidance on Addressing Misconduct During Stress Events
By Editors | 31/12/2020
Extreme price volatility, profitability pressures, psychological stressors, remote working and aggressive advertising were some of the drivers of misconduct risk during the pandemic.
Trading & Investment
HKFE Announces Launch Date for Hang Seng TECH Index Options
By Editors | 31/12/2020
The Hang Seng TECH Index Futures, introduced in November, have now been certified by the CFTC to be offered and sold to persons in the US.
Structural Regulation
Chinese Regulators Order Ant Group to Reorganise Business
By Manesh Samtani | 31/12/2020
Ant Group is directed to refocus on its payments business and correct regulatory violations in its credit, insurance, wealth management and asset securitisation businesses.
Trading & Investment
IOSCO Seeks Views from Market Participants on ETF Market
By Editors | 30/12/2020
IOSCO asks asset managers, liquidity providers and market-makers to help it obtain a more granular understanding of ETFs.
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