All posts tagged "Sponsors"
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740FeatureABS Releases Enhanced Listings Due Diligence Guidelines
The new guidelines emphasise the need for issue managers and full sponsors to "exhibit a healthy dose of professional scepticism" when conducting listings due diligence.
November 13, 2020 -
732Asia-PacificBangladesh Relaxes Rules Prohibiting Bank Dividends
Banks are allowed to distribute cash dividends to general shareholders and stock dividends to sponsors and institutional investors.
June 14, 2020 -
404IndiaSEBI Provides Exit Route for Franklin Templeton Investors
Franklin Templeton will be allowed to list units of its six shuttered mutual funds on stock exchanges, providing an alternate exit route to investors whose money is trapped.
May 21, 2020 -
633EnforcementHong Kong: Investors Seek Compensation for Failed IPOs – Report
The SFC has issued almost HK$1bn in penalties for IPO sponsor failures over 20 years. These proceeds have gone to the government, not investors.
May 11, 2020 -
530Capital RegulationIndia Doubles Pension Fund Manager Net Worth Requirement
The increase brings the requirements for pension fund managers in line with those for managers of mutual funds regulated by SEBI.
February 13, 2020 -
641Asia-PacificPhilippine SEC Proposes New Rules for REITs
The SEC hopes to develop a viable REIT market to provide funding for infrastructure projects and investment opportunities for local investors.
October 10, 2019 -
620Enforcement
SGX RegCo to Boost Regulatory Presence, Oversight
At a regulatory briefing on Wednesday, SGX RegCo CEO Tan Boon Gin laid out the work ahead to enhance investor confidence and deter wrongdoing.
August 8, 2019 -
527EnforcementCCB Hong Kong Unit Fined for IPO Sponsor Failures
SFC has fined CCB International Capital HK$24mn for failing to conduct reasonable due diligence for seafood company Fujion Dongya Aquatics in its 2014 listing.
July 10, 2018 -
484EnforcementIPO Sponsors Still Deficient, says SFC
Thematic review details deficiencies in standards of conduct, due diligence practices and internal systems and controls.
March 27, 2018
