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LATEST NEWS
Securities / Derivatives
Thailand to Tighten Rules on Short-Selling, Algorithmic Trading
By Editors | 12/03/2024
The SEC will shrink the pool of listed stocks eligible for short-selling, impose daily limits on short-selling, and require securities firms to help it police the market.
AML / KYC
HM Treasury Consults to Ways to Enhance AML/CFT Regime
By Nithya Subramanian | 12/03/2024
The consultation seeks views on ways to make CDD checks more proportionate and effective, and how to ensure information sharing and collaboration gateways are open and useful.
Enforcement
FSS Korea Concludes Probe Into Mis-sold HSCEI-Linked Products
By Manesh Samtani | 12/03/2024
Investors have lost almost $1bn, with another $3.5bn expected. The FSS issued a compensation guideline for financial firms that mis-sold the risky ELS products.
AML / KYC
Swiss Authorities Convict BSI Bank for Money Laundering
By Nithya Subramanian | 12/03/2024
Switerland’s Office of the Attorney General has imposed a fine of CHF 4.5 million for violations between August 2010 and June 2014.
Capital / Liquidity
RBNZ Issues Further Consultation on Deposit Protection Scheme
By Editors | 12/03/2024
The new Depositor Compensation Scheme will become operational in mid-2025, more than one year later than the initial plans.
AML / KYC
FATF Issues Final Guidance to Support Implementation of R.25
By Editors | 12/03/2024
The guidance explains requirements to obtain adequate, accurate and up-to-date UBO information for express trusts and similar legal arrangements.
Capital / Liquidity
Chinese Regulators Ask Banks to Support Troubled China Vanke
By Manesh Samtani | 12/03/2024
Vanke has been one of the few remaining Chinese property developers rated investment-grade by international rating agencies, until now.
SC Malaysia Seeks Feedback On Governance Code For MSMEs
By Nithya Subramanian | 12/03/2024
The proposed code aims to assist MSMEs in fostering long-term sustainability, attracting investment, and effectively navigating the business landscape.
AML / KYC
SEBI’s FPI Disclosure Rules Create Anxiety for Foreign Funds
By Editors | 12/03/2024
Requirements for FPIs to disclose information about their investors present legal, regulatory and practical challenges for foreign funds.
Market Infrastructure
Australia to Introduce “Financial Sector Regulatory Grid”
By Sanday Chongo Kabange | 12/03/2024
The new regulatory grid system will enable ASIC, APRA, the ACCC, the RBA and the ATO to better coordinate financial sector regulation.
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