All posts tagged "Disclosure"
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442IndiaSEBI Approves Tighter Norms for Mutual Funds
At its latest board meeting, SEBI approved tighter norms for mutual funds and pledged shares, while also approving a new framework for shares with differential voting rights.
July 1, 2019 -
696EnforcementSFC Fines Credit Suisse $2.8m over Research Reports
Credit Suisse has been fined $2.8m for failing to disclose investment banking relationships and market making activities in research reports on Hong Kong-listed securities.
June 20, 2019 -
364India
SEBI Issues Stricter Disclosure Norms for Ratings Agencies
Enhanced disclosure guidelines will require rating agencies to disclose default probabilities, factors that can impact ratings, and issuers' liquidity positions.
June 17, 2019 -
382UncategorisedSFC Provides Additional Guidance on Sale of Complex Products
Paragraph 5.5 of the Code of Conduct is only applicable for unsolicited purchases of complex products. Intermediaries can apply a risk-based approach to disclosures for repeat purchases.
June 14, 2019 -
827Big PictureIOSCO Publishes Recommendations on Sustainable Finance
The report identifies the prerequisites for creating an ecosystem that facilitates sustainable finance, and sets out 10 recommendations for growth and emerging markets.
June 8, 2019 -
331India
SEBI Issues Disclosure Guidelines for Listed Debt Securities
SEBI requires debenture trustees to continuously disclose the status of interest and redemption payments, meaning that any default or delay of payment will be disclosed within a day of the due date.
May 29, 2019 -
659Hong Kong
SFC Investigation Disclosure Obligation Presents Challenge to Industry
The SFC has clarified aspects of the new disclosure obligation, but concerns remain over logistical and administrative burdens, say ASIFMA and Herbert Smith Freehills.
May 24, 2019 -
323KoreaFSC Korea Mulls Relaxation of Five Percent Rule
Investors who own 5% or more of a listed company must disclose any ownership change within 5 days, a requirement that has prevented some institutional investors from exercising their voting rights.
May 23, 2019 -
400FeatureJapan TCFD Consortium Set for 27 May Inauguration
The Consortium will serve as a platform to pursue climate-related financial disclosures and decide how the disclosed information will be used in investment decisions.
May 22, 2019 -
455Capital RegulationCBIRC Orders Banks to Disclose NSFR Every 6 Months
China's banking regulator has issued new rules requiring mandatory disclosure of NSFR every six months, and additional public disclosures of NSFR data on banks' websites.
March 21, 2019
