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DeFi & Web3
US SEC Seeks Regulatory Oversight Over DeFi Platforms
By Pongnut Thanaboonchai | 26/08/2021
SEC chairman Gary Gensler likens DeFi to P2P lending. In 2008, the SEC said promissory notes issued to P2P investors were securities.
PEPs & Sanctions
Screening Financial Instruments for Investment-related Sanctions Risk
By Manesh Samtani | 26/08/2021
Refinitiv identified over 190,000 financial instruments relevant to the US investment ban against Non-SDN Chinese Military-Industrial Complex Companies as of 28 July.
Structural Regulation
SEC Directs Chinese Firms to Issue Disclosures on VIE Structures
By Sanday Chongo Kabange | 26/08/2021
Chinese companies have started to receive instructions from the SEC on the disclosures they must provide on their use of VIEs for US-bound IPOs.
Trading & Investment
CME Group Launches BSBY Futures Contract
By Editors | 25/08/2021
The contract was introduced to offer price discovery and risk hedging for the BSBY Index. CME Group plans to introduce OTC clearing of BSBY swaps in Q4.
Sustainable Finance
Singapore, US Agree to Cooperate on Cyber, Climate Risk
By Editors | 24/08/2021
The climate partnership focuses on stronger collaboration on sustainable finance, standard setting, climate risk disclosures, and carbon markets.
Structural Regulation
CSRC to Promote China-US Cooperation on Audit Supervision
By Editors | 24/08/2021
The CSRC said it will create conditions to promote China-US cooperation on audit supervision, strengthen market communication, and stabilise policy expectations.
Trading & Investment
ASX November Outage Caused By Hasty Trading System Launch
By Sanday Chongo Kabange | 23/08/2021
An independent review commissioned by ASIC and RBA found that ASX’s upgraded equity trading system was not ready to go-live.
Sustainable Finance
Thailand: Regulators Set Out Sustainable Finance Initiatives
By Editors | 22/08/2021
The strategic initiatives include the development of a sustainable finance taxonomy, the ESG data environment, and sustainable finance products.
Market Data & Technology
US SEC Allows API Access to Financial Disclosure Data
By Editors | 22/08/2021
The APIs aggregate financial statement data and make corporate disclosures quicker and easier for developers and third-party services to use
Structural Regulation
Philippine SEC Issues Final Guidelines for ASEAN CIS Framework
By Editors | 22/08/2021
In May, the Philippines became the fourth signatory to the ASEAN CIS Framework for cross-border funds after Malaysia, Singapore and Thailand.
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