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Securities / Derivatives
Thai SEC Proposes Rules to Prevent Misuse of IPO Channel
By Sanday Chongo Kabange | 03/08/2022
The amendments will prevent listed companies from operating as investment companies and circumventing rules applicable to fund managers.
Securities / Derivatives
US SEC Adds Alibaba to List of Firms Facing Delisting Threat
By Manesh Samtani | 03/08/2022
Chinese regulators have tried to mollify US regulators, but the PCAOB says it will accept nothing less than “full access” to the audit papers of US-listed Chinese companies.
AML / KYC
US Imposes New Round of Sanctions Against Russia
By Editors | 03/08/2022
The sanctions target Kremlin-connected elites, including retired Olympic gymnast Alina Kabaeva, who is understood to be Putin’s girlfriend.
Market Infrastructure
Guidance Issued for US Transition to T+1 Securities Settlement
By Editors | 02/08/2022
DTCC, SIFMA and ICI have published guidance to help market participants prepare for the US transition to a T+1 securities settlement cycle in 2024.
Enforcement
Banks Preparing to Pay Fines for Use of Messaging Apps
By Editors | 02/08/2022
US regulators are expected to announce penalties in the coming weeks over the use of unauthorised messaging apps for business communications.
Capital / Liquidity
CFTC Proposes Capital Comparability Determination for Japan
By Editors | 02/08/2022
Nonbank swap dealers domiciled in Japan would be able to satisfy certain US capital and financial reporting requirements by complying with comparable requirements in Japan.
US SEC Asks Firms to Detail Russia-Related Exposures – Report
By Editors | 01/08/2022
The SEC sought broad information from companies in May but is now asking for more specifics from some firms, including Citi.
ESG / Sustainability
US Treasury Launches Data Hub for Climate Risk Assessments
By Editors | 01/08/2022
The Climate Data and Analytics Hub will enable financial regulators to use data from across the government to assess climate-related financial stability risks.
AML / KYC
Philippine Court Jails Seven Over Investment Scam
By Editors | 28/07/2022
Seven perpetrators of a PHP 3 billion investment scam were sentenced to 20 years in jail each on top of financial penalties. Four others remain at large.
AML / KYC
US Treasury Allows Payouts on Russia Bond CDS
By Editors | 28/07/2022
General licence authorises US persons to participate in auction processes and receive Russian bonds to settle CDS transactions with Russian entities.
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