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AML / KYC
The Increasing Reliance on Data for Sanctioned Securities Screening
By Manesh Samtani | 02/12/2020
The onus often falls on FIs to uncover any links between sanctioned entities and potentially related securities, which can involve a significant data challenge.
AML / KYC
US to Designate Four Companies as Linked to Chinese Military
By Editors | 02/12/2020
The companies that will reportedly be added to the list of companies linked to the Chinese military include chipmaker SMIC and oil giant CNOOC.
Enforcement
Former Convoy Executives Found Not Guilty in ‘Enigma Network’ Case
By Editors | 02/12/2020
The judge ruled that the evidence provided by prosecutors was not sufficient to prove there was any attempt to deceive the stock exchange or Convoy directors or investors.
Market Infrastructure
Some USD LIBOR Settings May Continue Past End-2021
By Manesh Samtani | 01/12/2020
ICE Benchmark Administration intends to continue publishing some tenors of USD LIBOR until end-June 2023, which could allow time for most legacy contracts to mature.
Securities / Derivatives
HKEX Proposes to Raise Profit Requirement for New IPOs
By Manesh Samtani | 30/11/2020
One option HKEX proposes is to raise the profit requirement for companies seeking to list in Hong Kong threefold, reflecting the growth of the Hang Seng Index since 1994.
Enforcement
US OCC Fines JPMorgan for Weak Controls Over Fiduciary Activities
By Editors | 29/11/2020
The deficiencies identified by the OCC constituted unsafe or unsound practices that were part of “a pattern of misconduct”, says the consent order.
Market Infrastructure
CFTC Adopts Rule Changes to Facilitate Foreign Swaps Clearing
By Editors | 29/11/2020
The CFTC has extended no-action relief for non-US swap dealers from reporting requirements, and finalised rules for exempting non-US clearinghouses from registration requirements.
AML / KYC
FTSE Russell, MSCI Consult on Impact of China Sanctions
By Manesh Samtani | 26/11/2020
FTSE Russell is seeking views on the impact of the sanctions on its indexes. MSCI is asking about the impacts on investment processes.
Securities / Derivatives
HKEX to Enhance Northbound Stock Connect Post-trade Processing
By Editors | 24/11/2020
HKEX is targeting a Q1 2022 launch for the new settlement platform, which will automate and streamline post-trade processes and improve settlement efficiency.
Uncategorised
SEC Thailand Proposes Rules to Support Sustainability-Linked Bonds
By Sanday Chongo Kabange | 24/11/2020
The proposed regulations, based on ICMA’s Sustainability-Linked Bond Principles, will help issuers fund the sustainable transformation of their businesses
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