Securities / Derivatives

Enforcement

SFC Suspends Licence of Mason Securities Representative

By Editors | 30/10/2020

The former licensed representative said she had forgotten to declare an external securities trading account initially, and “could not be bothered to do so subsequently”.

ESG / Sustainability

AIMA, Simmons & Simmons Launch ESG Primer for Asia Fund Managers

By Editors | 30/10/2020

The primer contains key concepts and taxonomy, recent regulatory developments impacting Asia fund managers, and a checklist for developing an ESG strategy and roadmap.

Enforcement

Singapore Courts Charge Two for Cheating, False Trading

By Editors | 30/10/2020

Ex-KTL Global CEO Tan Kheng Yeow and OCBC Securities trading rep Tan Chun Yong are said to have been involved in a conspiracy for false trading.

ESG / Sustainability

SFC Proposes New Requirements for Fund Managers on Climate Risk

By Manesh Samtani | 29/10/2020

The proposed requirements for fund managers cover four key elements: governance, investment management, risk management and disclosure.

Market Infrastructure

ASX Extends Go-live of CHESS Replacement to April 2023

By Manesh Samtani | 29/10/2020

The one-year extension over what was proposed in June reflects a need for more post-trade processing capacity, highlighted by March’s extreme increases in trading volumes.

Enforcement

FSC Korea Consults on Enforcement of New Consumer Protection Law

By Sanday Chongo Kabange | 29/10/2020

The key enforcement proposals relate to consumer rights, the types of firms under scope, and the reach of the new legislation, and the penalties that can be imposed.

Securities / Derivatives

Dhaka Bourse Trials Pre-Opening, Post-Closing Sessions

By Duruthu E Chandrasekera | 28/10/2020

BSEC Executive Director Mohammad Saifur Rahman told Regulation Asia the pre-opening and post-closing sessions will be effective as early as next month.

ESG / Sustainability

Due Diligence Questions at the Dawn of the Era of Sustainability

By ESG Investor | 28/10/2020

Experts from Refinitiv, Panarchy Partners and Deep Learning Investments respond to audience questions on due diligence challenges following recent webinar.

Market Infrastructure

China Explores Rule Relaxations to Facilitate Cross-Border Investment

By Manesh Samtani | 28/10/2020

China’s regulators are working to further relax restrictions on cross-border investment and create new channels for domestic and foreign investors alike.