All posts tagged "Investor Protection"
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72Asia-PacificSEC Philippines Launches New Fintech Innovation Office
The PhiliFintech Innovation Office will serve as the first point of contact for existing fintech companies and help the SEC regulate fintech activities.
August 2, 2021 -
77EuropeUK FCA Finalises Rule Changes for SPAC Listings
The FCA will remove the presumption of suspension at the point when an acquisition target is identified, for SPACs that meet certain criteria.
July 28, 2021 -
222Contributed ArticleThe Role of Technology in Managing Fragmentation in Markets
Technology is increasingly serving as a counterbalance to mitigate the impacts of regulatory-driven market fragmentation in APAC, writes Tradeweb's Jennifer Keser.
July 20, 2021 -
83EuropeESMA Outlines Disclosure Expectations for SPACs
The guidance is aimed at enhancing the comprehensibility and comparability of SPAC prospectuses and ensuring investors are adequately protected.
July 18, 2021 -
105Asia-PacificPhilippine Bourse Seeks to Launch Crypto Business – Report
CEO Ramon Monzon said the PSE should be the exchange platform for crypto assets because it already has the trading infrastructure and investor safeguards in place.
July 7, 2021 -
130AML / KYCTaiwan: New AML Rules For Crypto Exchanges Take Effect
Crypto exchanges in Taiwan have to report transactions worth more than TWD 500,000 and fulfill KYC requirements.
July 6, 2021 -
121FeatureIOSCO Proposes Sustainability-related Rules for Fund Managers
Recommendations for securities regulators cover asset manager practices, product disclosure, supervision and enforcement, terminology, and investor education.
July 2, 2021 -
91EnforcementKorea FSC Extends Optimus Suspension for Six More Months
A new fund management company is being set up to take over and manage funds previously operated by Optimus Asset Management.
June 29, 2021 -
68KoreaKorea to Impose Additional Requirements for PE Funds
A new rule will also be introduced to allow for faster removal of fund managers that fail to meet the requirements.
June 27, 2021 -
152EnforcementSGX RegCo Set to Expand Enforcement Powers
From 1 August, SGX RegCo will be able to issue public reprimands, require issuers to comply with specified conditions, and demand director resignations.
June 25, 2021
