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PEPs & Sanctions
US Sanctions Force Chinese AI Firm to Postpone HK IPO
By Manesh Samtani | 13/12/2021
The US Treasury placed Chinese AI firm SenseTime on an investment blacklist just as the company was preparing to list in Hong Kong.
Reporting & Disclosures
Thai SEC Consults on Disclosure Guidance for SRI Funds
By Editors | 13/12/2021
Disclosures should include an investment strategy that details the securities analysis and selection process and investment benchmarks used.
Anti-Money Laundering
US Treasury Targets Human Trafficking in Updated Action Plan
By Mark Johnston | 12/12/2021
Treasury will leverage its AML expertise to augment human trafficking investigations, and develop advisories to alert FIs to potential red flags.
Structural Regulation
China to Restrict Use of VIE Structures for Foreign IPOs
By Manesh Samtani | 10/12/2021
The blacklist is expected to target new companies in sensitive sectors that use VIE structures to run their China businesses.
Structural Regulation
US House Passes LIBOR Replacement Legislation
By Manesh Samtani | 10/12/2021
The legislation will automatically shift tough legacy contracts to a new benchmark, preventing disputes over which rate should apply and how interest is calculated.
Trading & Investment
TAIFEX Receives CFTC Certification for New Mini Finance Futures
By Editors | 09/12/2021
TAIFEX said the financial industry is the most interesting sector to foreign investors in Taiwan’s stock market.
Anti-Money Laundering
FinCEN to Tighten Rules on Beneficial Ownership, Real Estate Deals
By Manesh Samtani | 09/12/2021
The proposed rules are aimed at protecting the US financial system from money laundering enabled by shell companies and all-cash real estate deals.
Trading & Investment
HKFE Gets CFTC Certification for Two More China Futures Contracts
By Sanday Chongo Kabange | 08/12/2021
The certification of the two contracts means they can be offered and sold to persons in the US, and that US investors can trade the contracts from within the US.
Reporting & Disclosures
US Climate Reporting Framework Expected Q1 2022
By ESG Investor | 08/12/2021
The framework is complex and SEC staff want to “get it right first time”, says PRI’s Head of US Policy Gregory Hershman.
KYC & CDD
Thailand Set to Launch ID Checking System for Foreign Bond Investors
By Mark Johnston | 08/12/2021
Beginning 4 January 2022, all non-resident investors trading debt securities must register with the BOT and settle trades through segregated securities accounts.
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