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Enforcement
US SEC, BaFin Probe DWS Over ESG Investment – Reports
By Editors | 30/08/2021
The former global head of sustainability at DWS alleges that the firm overstated how many assets had been screened against ESG criteria.
Market Infrastructure
US Treasury ‘Will Not Adjudicate’ on LIBOR Replacement Rates
By Manesh Samtani | 26/08/2021
Nonfinancial corporations were seeking clarity on alternative rates and help to address difficulties obtaining loan agreements based on SOFR.
Fintech / Regtech
US SEC Seeks Regulatory Oversight Over DeFi Platforms
By Pongnut Thanaboonchai | 26/08/2021
SEC chairman Gary Gensler likens DeFi to P2P lending. In 2008, the SEC said promissory notes issued to P2P investors were securities.
AML / KYC
Screening Financial Instruments for Investment-related Sanctions Risk
By Manesh Samtani | 26/08/2021
Refinitiv identified over 190,000 financial instruments relevant to the US investment ban against Non-SDN Chinese Military-Industrial Complex Companies as of 28 July.
Securities / Derivatives
SEC Directs Chinese Firms to Issue Disclosures on VIE Structures
By Sanday Chongo Kabange | 26/08/2021
Chinese companies have started to receive instructions from the SEC on the disclosures they must provide on their use of VIEs for US-bound IPOs.
Market Infrastructure
CME Group Launches BSBY Futures Contract
By Editors | 25/08/2021
The contract was introduced to offer price discovery and risk hedging for the BSBY Index. CME Group plans to introduce OTC clearing of BSBY swaps in Q4.
ESG / Sustainability
Singapore, US Agree to Cooperate on Cyber, Climate Risk
By Editors | 24/08/2021
The climate partnership focuses on stronger collaboration on sustainable finance, standard setting, climate risk disclosures, and carbon markets.
Securities / Derivatives
CSRC to Promote China-US Cooperation on Audit Supervision
By Editors | 24/08/2021
The CSRC said it will create conditions to promote China-US cooperation on audit supervision, strengthen market communication, and stabilise policy expectations.
Market Infrastructure
ASX November Outage Caused By Hasty Trading System Launch
By Sanday Chongo Kabange | 23/08/2021
An independent review commissioned by ASIC and RBA found that ASX’s upgraded equity trading system was not ready to go-live.
ESG / Sustainability
Thailand: Regulators Set Out Sustainable Finance Initiatives
By Editors | 22/08/2021
The strategic initiatives include the development of a sustainable finance taxonomy, the ESG data environment, and sustainable finance products.
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