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KYC & CDD
Thai SEC Proposes UBO Registration Rules for Securities Firms
By Sanday Chongo Kabange | 08/08/2021
Securities firms offering trading, exchange or underwriting services will be required to ensure customers register their foreign beneficiaries.
Structural Regulation
US SEC Approves Nasdaq Proposal on Board Diversity
By Manesh Samtani | 08/08/2021
The new rules will require listed companies to meet race and gender targets, or explain in writing why they have failed to do so.
Anti-Money Laundering
US DOJ Repatriates Additional $452bn in 1MDB Funds to Malaysia
By Editors | 08/08/2021
The total funds belonging to 1MDB that have been returned to date amount to over $1.2bn, the DOJ said in a statement.
Structural Regulation
CSRC Promises Increased Predictability of Policy Measures
By Sanday Chongo Kabange | 04/08/2021
The CSRC says it will seek closer cooperation with the US SEC and enhance the transparency and predictability of policy measures.
PEPs & Sanctions
US Investment Ban on 59 Chinese Companies Takes Effect
By Editors | 04/08/2021
US persons that have not yet divested their holdings in 59 companies that operate in the defence or surveillance technology sectors have until 3 June 2022 to do so.
Cryptocurrency
US House Bill Offers Regulatory Framework for Crypto
By Manesh Samtani | 02/08/2021
The bill would give the SEC authority over digital asset securities, the CFTC authority over digital assets, and the Fed authority to issue a digital dollar.
Structural Regulation
China, Hong Kong to Strengthen Legal, Judicial Cooperation
By Editors | 02/08/2021
China and Hong Kong will promote mutual recognition and assistance in bankruptcy procedures. Mainland judicial practice training will be arranged for Hong Kong legal professionals.
Market Data & Technology
ISDA, ICMA, ISLA Sign MoU on Common Domain Model
By Editors | 02/08/2021
The MoU establishes a framework for closer collaboration on the development of the Common Domain Model across financial markets.
Cloud & Infrastructure
Thailand, Luxembourg Sign MoU on Fintech Innovation
By Editors | 02/08/2021
The MoU provides a framework for cooperation between the SEC and CSSF with respect to promoting innovation in financial services.
Structural Regulation
SEC Philippines Launches New Fintech Innovation Office
By Editors | 01/08/2021
The PhiliFintech Innovation Office will serve as the first point of contact for existing fintech companies and help the SEC regulate fintech activities.
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