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Capital / Liquidity
SEC Thailand Proposes Measures to Protect Funds from Panic Selling
By Editors | 18/03/2021
The SEC is considering imposing conditions for investors seeking to redeem mutual fund units, among other measures to enhance liquidity management at funds.
ESG / Sustainability
CFTC Establishes New Dedicated Unit for Climate Risk
By Editors | 18/03/2021
Other US financial regulators including the SEC, Treasury Department and Federal Reserve have also recently raised climate risk and a key focus.
Fintech / Regtech
BOT Warns Against THB-Denominated Stablecoin
By Sanday Chongo Kabange | 18/03/2021
A stablecoin denominated in Thai baht has been developed overseas. Any activity involving the stablecoin is deemed illegal.
Market Infrastructure
Refinitiv to Publish Spread Adjusted SOFR for Cash Products
By Editors | 18/03/2021
Following an RFP process initiated in September, the ARRC has selected Refinitiv to publish spread-adjusted fallback rates for use in cash product contracts.
Securities / Derivatives
SEC Thailand Introduces New Securities Licence Types
By Editors | 17/03/2021
The two new licences are for firms that serve as intermediaries only for equity instruments, and for firms managing private funds.
AML / KYC
UPDATED – US Federal Judge Lifts Investment Ban Against Xiaomi
By Manesh Samtani | 17/03/2021
The judge said there was no evidence of Xiaomi sharing information with the Chinese government, and that the ban deprived the company of its right to due process.
Big Picture
DTCC Proposes Plan to Harmonise Global Trade Reporting
By Manesh Samtani | 17/03/2021
DTCC proposes plan to eliminate cross-jurisdictional differences in trade reporting standards to boost transparency and the monitoring of systemic risk.
Securities / Derivatives
CSRC Mulls Tighter Listing Rules for STAR Market Stocks
By Ranamita Chakraborty | 15/03/2021
The revised rules are expected to emphasise the technology credentials and financial health of companies seeking a listing on the STAR Market.
AML / KYC
Thailand to Launch Standard Form for Capital Market Access
By Editors | 13/03/2021
From 1 July, all intermediaries will use a standard form for account opening, providing investors easier access to stocks, debt instruments, mutual funds and derivatives.
Fintech / Regtech
Philippine SEC Launches New Online Payments System
By Editors | 13/03/2021
The ‘SEC Payment Portal’ allows for the payment of registration fees, penalties and other fees using other cashless payment options.
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