All posts tagged "Investor Protection"
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202Fintech / 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 -
206ChinaNew 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 -
159China
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 -
284ChinaChina 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 -
166Securities & 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 -
606AML / KYCSFC, HKMA Offer Clarity on Product Disclosure, Suitability Obligations
The SFC and HKMA say firms may adopt a risk-based approach to streamline the provision of product disclosures for sophisticated or experienced investors.
December 30, 2020 -
218ChinaCBIRC Takes Control of Trust Company Accused of Embezzlement
A joint working team comprising CBIRC and local government officials was dispatched to Sichuan Trust to supervise operations and carry out a management reshuffle.
December 24, 2020 -
230Hong Kong
SFC Consults on Amendments to Code on Pooled Retirement Funds
Given the wide participation in Hong Kong by employers and employees in ORSO schemes which invest in PRFs, appropriate investor protection should apply.
December 21, 2020 -
466FeatureHong Kong Launches Strategic Plan for Greener Financial Ecosystem
A cross-agency steering group has announced a green and sustainable finance strategy for Hong Kong and five key action points.
December 18, 2020 -
388AML / KYCPhilippine SEC Proposes Stronger Rules on Beneficial Ownership
The SEC is seeking to require the disclosure of beneficial owners, nominators, principals, and nominee arrangements within 10 days from a company’s registration.
December 9, 2020
