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Structural Regulation
Five Chinese Heavyweights to Delist from US Exchanges
By Editors | 15/08/2022
The companies cited the small trading volume of their shares in New York, without mentioning any ongoing disputes between US and Chinese authorities.
Trading & Investment
SEBI Amends Due Diligence Guidelines for Debenture Trustees
By Editors | 14/08/2022
The enhanced guidelines cover empanelment of external agencies for due diligence, conflicts of interest policy, and allow the creation of additional security post NCD listing.
Trading & Investment
Financial Education Gaps Prevent Retail Participation in Markets
By Manesh Samtani | 14/08/2022
New research from WEF, BNY Mellon and Accenture finds 29% of investors do not understand crypto, but nearly 40% said the same of stocks and bonds.
Structural Regulation
More TSE Companies Disclosing Information in English
By Editors | 12/08/2022
English language disclosures are now part of the Corporate Governance Code, and considered a key factor to boost foreign participation in Japanese markets.
Alternative Markets
FCA Sets Out Supervisory Priorities for Alternative Funds
By Manesh Samtani | 11/08/2022
Firms offering ESG products should expect to be subject to review to ensure marketing materials are not misleading.
Capital Adequacy
Korea: New FSC Administration Sets Out Policy Agenda
By Sanday Chongo Kabange | 11/08/2022
The agenda sets out measures to ensure financial stability, encourage digital transformation, improve the capital markets, and introduce new regulations for digital assets.
Structural Regulation
RBI to Adopt New Measures to Regulate Digital Lending
By Manesh Samtani | 11/08/2022
The measures include enhanced disclosures for borrowers, consent-based data collection, a cooling-off period for online loans, and the establishment of a new SRO.
Conduct, Culture & Accountability
ASIC Identifies Complaints Handling Deficiencies at Super Funds
By Editors | 11/08/2022
ASIC discovered issues with complaints recording, response timeframes, failures to inform complainants of delays, and process failures.
Structural Regulation
Bursa Malaysia Proposes Rules for LEAP-to-ACE Listing Transfers
By Editors | 10/08/2022
The framework will help LEAP Market companies transfer to the ACE Market, which offers a “more robust listing environment” and is open to the public.
Conduct, Culture & Accountability
ASIC to Provide Industry Support on Breach Reporting Compliance
By Sanday Chongo Kabange | 10/08/2022
ASIC says it is aware of implementation challenges associated with the new breach reporting regime, and that it will work to help reduce the compliance burden.
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