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Trading & Investment
CME Group to be Recommended as SOFR Term Rate Administrator
By Editors | 24/05/2021
A recommended SOFR term rate is now in clear sight, said Tom Wipf, ARRC Chairman and Vice Chairman of Institutional Securities at Morgan Stanley.
Anti-Money Laundering
US Treasury Paper Outlines Proposal for New Tax Reporting Regime
By Sanday Chongo Kabange | 24/05/2021
The paper proposes that transfers involving crypto assets worth more than USD 10,000 be reported to the IRS under the new reporting regime.
Conduct, Culture & Accountability
SEC Penalises S&P Dow Jones Indices for Disclosure Failure
By Ranamita Chakraborty | 22/05/2021
The SEC settled charges against S&P DJI for the dissemination of stale index values which resulted from an undisclosed quality control feature.
Sustainable Finance
Thailand SEC Issues Rules for Sustainability-Linked Bond Issuance
By Sanday Chongo Kabange | 21/05/2021
To help promote the issuance and offering of sustainability-linked bonds, the SEC will waive application and registration fees until 31 May 2022.
Structural Regulation
SET Amends Listing Rules to Introduce Market Cap Test
By Sanday Chongo Kabange | 20/05/2021
The listing rule changes will enable companies in target sectors to more easily access funding from Thailand’s capital market.
PEPs & Sanctions
US Postpones Investment Ban on ‘Chinese Military Companies’
By Editors | 20/05/2021
The two-week delay is needed to craft a stronger policy to prohibit trades in companies connected to the Chinese military, including to evaluate the companies on the list.
Supervision & Enforcement
US DOJ Repatriates $460m of Seized 1MDB Funds to Malaysia
By Editors | 16/05/2021
Seized and repatriated 1MDB funds are being utilised to repay and service 1MDB and SRC’s debts, which remain above $10.2billion.
Structural Regulation
PCAOB Proposes Framework for HFCAA Determinations
By Editors | 16/05/2021
The PCAOB will use the proposed framework to determine when it is unable to carry out inspections of overseas audit firms of US-listed companies.
Anti-Money Laundering
US DOJ Penalises Swiss Life for Facilitating Tax Evasion
By Editors | 16/05/2021
Swiss Life and its subsdiaries created and marketed insurance products specially designed for US persons seeking to hide offshore assets and evade tax.
Trading & Investment
SEC Thailand Issues Guidelines for Distressed Bond Funds
By Editors | 13/05/2021
Only institutional and ultra-HNW investors will be allowed to invest in distressed bond funds, which will be non-redeemable but have a maturity date prescribed.
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