All posts tagged "Investor Protection"
-
425EnforcementSGX RegCo Adopts Risk-Based Approach to Quarterly Reporting
A new risk-based approach to quarterly reporting and stronger continuous disclosure requirements will apply from 7 February. The new whistleblowing office has also been established.
January 10, 2020 -
227IndiaIndian Exchanges Issue New Framework for Listing Commercial Paper
The listing framework for commercial papers will lead to more transparency, a better disclosure regime and greater investor protection.
November 28, 2019 -
546ChinaChina Further Eases Restrictions on Foreign Investment
China will not force foreign investors and companies to transfer their technology to their local partners, according to Vice Minister of Commerce Wang Shouwen.
October 31, 2019 -
657EnforcementFSC Korea to Boost Supervisory Capacity to Prevent Mis-selling
The FSC will reportedly increase the number of banking, financial investment and asset management experts it has on staff for inspections of banks, security firms and insurers.
October 21, 2019 -
920AML / KYCG20 Finance Leaders Agree to Regulate Stablecoins
Amid warnings from the FSB and FATF, the G20 finance leaders have agreed that no stablecoin project should commence operation until their risks are evaluated and appropriately addressed.
October 21, 2019 -
652EnforcementRedemptions Halted at Korean Hedge Fund Amid Probe
An FSS probe into alleged unfair trading has triggered investor redemptions which Lime Asset Management has not been able to meet.
October 11, 2019 -
545Korea
Korea FSC Offers New Channels for Venture Capital Investment
Securities, asset management and venture capital firms can obtain a license to operate a fund which raises capital from investors to list on the KRX and invests in unlisted companies.
October 1, 2019 -
752FeatureHKMA Updates Rules on Sales of Banking Products
Banks may not sell investment, insurance and MPF products in areas that are used for deposit-taking activities, and the face-to-face sales process must be audio-recorded.
September 27, 2019 -
557EuropeUS, UK Agencies Work to Clean Up Credit Derivatives Market
In a joint statement, the SEC, CFTC and FCA have pledged to work together to address “opportunistic strategies" that harm the credit derivatives market.
September 24, 2019 -
412MalaysiaBursa Malaysia Consults on Listing Rule Amendments
The amendments focus on the issuance of new securities, seeking to enhance transparency, promote better corporate governance, ensure board integrity and protect investors.
September 3, 2019
