Securities / Derivatives

Securities / Derivatives

CBIRC’s New Rules for Trust Companies to Take Effect in March

By Editors | 11/02/2020

When the measures take effect, a $1bn asset threshold required of foreign financial institutions to hold shares in domestic trust companies will be effectively cancelled.

Capital / Liquidity

India to Introduce Netting Legislation, Margin Rules for Derivatives

By Manesh Samtani | 11/02/2020

Prompted by a Budget proposal to introduce netting legislation “soon”, the RBI says it will likewise issue directions on the exchange of margin for non-centrally cleared derivatives.

Securities / Derivatives

Quarterly Reporting Required for 109 Companies: SGX

By Editors | 11/02/2020

94 companies required to use quarterly reporting are issuers with audit concerns, 6 have outstanding regulatory concerns, and 9 are named under both categories.

Securities / Derivatives

SGX to Allow Some Issuers to Delay AGM, Audited Results

By Editors | 10/02/2020

The extension is for issuers whose principal place of business or significant operations are in China, and whose audits have been affected by coronavirus-related measures.

Enforcement

SFC Bulletin Shows Sponsor Conduct Still Top-of-mind

By Editors | 07/02/2020

The Regulatory Bulletin offers case studies illustrating the SFC’s key areas of concern and recent regulatory interventions in IPO applications and corporate transactions.

Securities / Derivatives

SGX RegCo Offers Guidance as New Disclosure Rules Take Effect

By Editors | 07/02/2020

Listed companies should have robust and effective internal controls in place to assess material information requiring disclosure, says SGX RegCo chief Tan Boon Gin.

Securities / Derivatives

NAFMII Enables ‘Green Channel’ Bond Issuance Amid Virus Outbreak

By Editors | 07/02/2020

NAFMII will support companies affected by the coronavirus outbreak and those helping to contain it by enabling a ‘green channel’ for fundraising and debt issuance.

Securities / Derivatives

SEBI Tightens Disclosure Standards for Alternative Investment Funds

By Editors | 07/02/2020

SEBI has set out minimum disclosure standards and introduced mandatory performance benchmarking for alternative investment funds.

Enforcement

SFC Imposes One-Year Ban on RHB Securities Analyst

By Editors | 06/02/2020

The analyst traded stocks covered in research reports he prepared through his father’s securities trading account held at another brokerage.