All posts tagged "Investor Protection"
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175AML / KYCGreater Bay Regulators Sign MoU on Wealth Management Connect
The regulators agree to issue guidance to banks on product due diligence, investor protection, AML/CFT requirements and personal data protection, among other areas.
February 7, 2021 -
106KoreaKorea Likely to Extend Short-selling Ban Amid Political Pressure
The FSC has previously said it would lift the short-selling ban in March, but it is now increasingly likely the ban will be extended another three months.
February 3, 2021 -
171AML / KYCThailand to Introduce Rules for Digital Asset Wallet Providers
The SEC is concerned that digital asset wallets and custodian services could be used for drug offences and money laundering.
February 3, 2021 -
271FeatureRegulators, Lawmakers Express Concerns Over GameStop Trading
Regulators from the US to the UK and Malaysia have issued statements expressing concerns over the heightened volatility seen in the US market over the past week.
February 1, 2021 -
104InternationalIOSCO Offers Guidance on Enhancing Complaint Handling Mechanisms
IOSCO has published a new report to help jurisdictions identify and address gaps in their complaint handling and redress systems.
January 29, 2021 -
145Fintech / RegtechOECD Paper Identifies Regulatory Issues in Asset Tokenisation
As markets for tokenised assets develop and grow in size, so too will the need to safeguard investors, consumers and financial stability.
January 27, 2021 -
163ChinaNew Rules for Private Equity Funds Take Effect in China
The rules prohibit the use of private equity funds as vehicles for public fundraising, explicitly allowing them to only be offered to qualified investors.
January 14, 2021 -
133China
CSRC Issues Final Rules on Convertible Corporate Bonds
The rules require trading venues to improve trading rules, enhance risk monitoring, and establish appropriate investor suitability and information disclosure rules.
January 12, 2021 -
188ChinaChina Unifies Disclosure Requirements for Corporate Bond Issuance
The rules apply to companies issuing enterprise debt financing instruments, corporate bonds and enterprise bonds, whether in the interbank market or on exchanges.
January 3, 2021 -
134Securities & TradingNYSE Gets SEC Green Lights to Allow Direct Listings
Companies will be able to directly sell shares in an auction without a traditional underwriter, enabling investors to participate in new listings more readily.
December 30, 2020
