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ESG / Sustainability
Thailand’s Proposed SME Board Falls Short of Market Needs
By Pongnut Thanaboonchai | 09/08/2021
The SEC’s proposed SME board is unlikely to facilitate access to capital for startups that are most in need of funding, says Pongnut Thanaboonchai.
AML / KYC
Thai SEC Proposes UBO Registration Rules for Securities Firms
By Sanday Chongo Kabange | 08/08/2021
Securities firms offering trading, exchange or underwriting services will be required to ensure customers register their foreign beneficiaries.
ESG / Sustainability
US SEC Approves Nasdaq Proposal on Board Diversity
By Manesh Samtani | 08/08/2021
The new rules will require listed companies to meet race and gender targets, or explain in writing why they have failed to do so.
AML / KYC
US DOJ Repatriates Additional $452bn in 1MDB Funds to Malaysia
By Editors | 08/08/2021
The total funds belonging to 1MDB that have been returned to date amount to over $1.2bn, the DOJ said in a statement.
Securities / Derivatives
CSRC Promises Increased Predictability of Policy Measures
By Sanday Chongo Kabange | 04/08/2021
The CSRC says it will seek closer cooperation with the US SEC and enhance the transparency and predictability of policy measures.
AML / KYC
US Investment Ban on 59 Chinese Companies Takes Effect
By Editors | 04/08/2021
US persons that have not yet divested their holdings in 59 companies that operate in the defence or surveillance technology sectors have until 3 June 2022 to do so.
AML / KYC
US House Bill Offers Regulatory Framework for Crypto
By Manesh Samtani | 02/08/2021
The bill would give the SEC authority over digital asset securities, the CFTC authority over digital assets, and the Fed authority to issue a digital dollar.
Market Infrastructure
China, Hong Kong to Strengthen Legal, Judicial Cooperation
By Editors | 02/08/2021
China and Hong Kong will promote mutual recognition and assistance in bankruptcy procedures. Mainland judicial practice training will be arranged for Hong Kong legal professionals.
Securities / Derivatives
ISDA, ICMA, ISLA Sign MoU on Common Domain Model
By Editors | 02/08/2021
The MoU establishes a framework for closer collaboration on the development of the Common Domain Model across financial markets.
Fintech / Regtech
Thailand, Luxembourg Sign MoU on Fintech Innovation
By Editors | 02/08/2021
The MoU provides a framework for cooperation between the SEC and CSSF with respect to promoting innovation in financial services.
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