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Trading & Investment
SEC Thailand Targets 2021 Launch for New SME Board
By Pongnut Thanaboonchai | 16/09/2021
Only investors with experience and knowledge of investment products and a high level of assets can invest in primary and secondary markets for SMEs.
Clearing & Post-Trade
DTCC to Launch DLT-Based Settlement Platform in Q1 2022
By Editors | 15/09/2021
Project Ion will create an alternative clearance and settlement option for US equity markets that leverages distributed ledger technology.
Conduct, Culture & Accountability
PCAOB Fines KPMG Australia Over Training-related Misconduct
By Editors | 15/09/2021
Cheating in online training tests was found to be widespread within the audit practice. KPMG Australia sanctioned 1,131 individuals.
Trading & Investment
Thailand, Singapore to Introduce Depository Receipt Linkage
By Manesh Samtani | 15/09/2021
Through the new linkage, Singapore and Thailand listed companies will be able to issue depository receipts in each other’s markets.
Structural Regulation
SEC Committee Endorses Stricter Enforcement of SPAC Rules
By Editors | 13/09/2021
The investor advisory committee recommended increased enforcement of existing disclosure rules for SPACs, including in relation to the sponsor’s role.
Operational Risk
Exchanges Can Help Minimise Broker-Dealer Operational Risk
By Manesh Samtani | 13/09/2021
A paper by Citadel Securities, NYSE, Nasdaq, MIAX, MEMX, and BOX says exchanges can provide an additional layer of protection on top of broker-dealers’ own risk controls.
Structural Regulation
Thai SEC Eases Red Taps for Foreign Issuers Seeking IPO
By Pongnut Thanaboonchai | 12/09/2021
The change will reduce the burden of raising funds for foreign companies and help boost the competitiveness of Thai capital markets, the SEC said.
PEPs & Sanctions
Philippine SEC Disseminates Guidance on Targeted Financial Sanctions
By Editors | 12/09/2021
The guidance now covers targeted financial sanctions related to terrorism, terrorism financing, and proliferation financing, including remedies and relevant UNSC links.
Cryptocurrency
Thailand to Revoke Huobi Digital Asset Exchange Licence
By Pongnut Thanaboonchai | 12/09/2021
Huobi was not able to fix deficiencies in its systems within various timelines stipulated by the SEC.
Reporting & Disclosures
Global Regulators Heighten Scrutiny Over ESG Mislabelling – Reports
By Sanday Chongo Kabange | 09/09/2021
Increased scrutiny from US, EU and UK regulators have forced asset managers to review current practices for classifying funds as ESG-focused.
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