News Centre

Shenzhen Stock Exchange Answers Reporters'Question On The"Three Transparents And Two Improvements"Campaign

Date 30/03/2023

Implementing the registration-based IPO system across the board is a major reform that involves the overall situation of the capital market and an important measure for the capital market to refine basic rules and regulations, give play to the functions of the market, improve the business environment, and better support scientific and technological innovation. To ensure steady implementation of the reform, SZSE has, centering on the goals of the reform, taken up the responsibilities as the implementer of the reform and carried out the “Three Transparents and Two Improvements” Campaign. It is designed to deepen transparent review, transparent supervision and transparent service and promote the improvement in review quality and efficiency and in the culture of integrity so as to build a transparent, honest, quality registration-based IPO system. Relevant officials of SZSE recently answered reporters’ questions regarding the action.

Dalian Commodity Exchange: Notice On Trading Hour Arrangements For 2023 Qingming Festival

Date 30/03/2023

In accordance with the Notice on 2023 DCE Market Holiday Arrangements, the trading hour arrangements of Dalian Commodity Exchange (DCE) for the 2023 Qingming Festival are hereby notified as follows:

SGX Securities Welcomes Mirae Asset Securities As New DLC Issuer

Date 30/03/2023

• Mirae Asset Securities to list 10 new USD-denominated DLCs designed to offer investors wider investment options

ISDA: Australia

Date 29/03/2023

Joint ISDA and AFMA’s response to ASIC’s Consultation Paper 366 – Proposed amendments to  the ASIC Derivative Transaction Rules (Clearing) 2015: Second consultation & Draft DTR Instrument.

Staff Statement Regarding The Risk Legend Used By Non-Transparent Exchange-Traded Funds Operating In Reliance Of An Exemptive Order Under The Investment Company Act Of 1940 - SEC Division Of Investment Management Staff

Date 29/03/2023

To date, the Commission has granted exemptive relief to a number of sponsors to operate actively managed ETFs that do not provide daily portfolio transparency (non-transparent ETFs). Under the terms of its exemptive relief, each non-transparent ETF uses in its prospectus, fund website and any marketing materials a risk legend (“Risk Legend”) to highlight for investors the differences between the non-transparent ETF and fully transparent actively managed ETFs as well as certain costs and risks unique to non-transparent ETFs.

CFTC Commissioner Goldsmith Romero To Participate In A Fireside Chat At The Chainalysis’ Links 2023 Conference

Date 29/03/2023

Testimony At Hearing Before The Subcommittee On Financial Services And General Government, SEC Chair Gary Gensler, Washington D.C., March 29, 2023

Date 29/03/2023

Good afternoon, Chair Womack, Ranking Member Hoyer, and members of the Subcommittee. Thank you for inviting me to testify today on the Securities and Exchange Commission’s Fiscal Year (FY) 2024 budget request. As is customary, I’d like to note that my views are my own, and I am not speaking on behalf of my fellow Commissioners or the SEC staff.

SEC Charges Private Fund Auditor And Audit Engagement Partner With Improper Professional Conduct

Date 29/03/2023

The Securities and Exchange Commission today announced settled charges against Spicer Jeffries LLP, an audit firm based in Denver, and audit engagement partner Sean P. Tafaro, for their improper professional conduct in connection with audits of two private funds.

ISDA Paper To HMT On Draft Statutory Instrument

Date 29/03/2023

On March 8, 2023, ISDA sent a paper to His Majesty’s Treasury on its draft prospectus statutory instrument (SI). In the paper, ISDA highlights its concern for the proposed widened scope of the prospectus regime as it may inadvertently capture over-the-counter derivatives. The draft legislation was published as part of the Edinburgh Reforms as an illustrative draft SI to give an indication of how the powers relating to retained EU Law in the Financial Services and Markets Bill will be used, and how relevant SIs may be structured.

EBA Consults On Amendments To Guidelines On Risk-Based AML/CFT Supervision To Include Crypto-Asset Service Providers

Date 29/03/2023

The European Banking Authority (EBA) launched today a public consultation on amendments to its Guidelines on risk-based anti-money laundering and countering the financing of terrorism (AML/CFT) supervision. The proposed changes extend the scope of these Guidelines to AML/CFT supervisors of crypto-asset service providers (CASPs). The consultation runs until 29 June 2023.