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Nasdaq’s Annual Global Compliance Survey 2020: Accelerating Surveillance Technology Demand From Financial Firms During COVID-19 - Investments In Data Quality And Monitoring To Take Priority In 2021 After Core Infrastructure Focus In 2020

Date 16/12/2020

Today Nasdaq (Nasdaq: NDAQ) launched its 6th annual Global Compliance Survey produced in collaboration with Greenwich Associates. The survey gathers qualitative and quantitative feedback from more than 200 compliance professionals and executives in the financial industry worldwide, representing sell- and buy-side firms and market infrastructure organizations. Unique to the latest edition of the Global Compliance Survey, respondents cite external global factors as the primary driver of compliance process changes, surpassing regulatory scrutiny as the top driver of compliance process changes, a shift believed to be prompted by the current COVID-19-pandemic.
BETTER FINANCE: Ensure A Level Playing Field For ELTIFs To Take Off

Date 16/12/2020

With merely 22 active funds, of which just a handful are marketed and distributed to individual, non-professional (“retail”) investors, the EU Long-Term Investment Funds (ELTIF) market is still struggling to develop more than five years after the adoption of its Regulation. The uptake of ELTIFs by investors is hampered by similar but more attractive domestic labels, a lack of public promotion, a shortage of “affluent” investors and more stringent investment rules compared to other funds of the same type.
ESMA Updates Guidelines On Stress Tests For Money Market Funds

Date 16/12/2020

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, is publishing the 2020 update of guidelines on MMF stress tests under the Money Market Funds Regulation (MMFR). The updates take account of MMFs recent experience during March 2020, particularly in relation to redemption scenarios.
Anticipating Brexit, The French Public Investment Bank, Bpifrance Relocates Clearing Business Into The EU - Bpifrance Successfully Switches Swap Book To Eurex Clearing

Date 16/12/2020

As the legal and regulatory framework for transactions processed or managed from UK territory will be impacted by Brexit, the French public investment bank Bpifrance has transferred its entire portfolio of derivatives, composed mainly of interest rate swaps, from London Clearing House LCH to EU27-based Eurex Clearing.
Elektroimportøren Lists On Euronext Growth Oslo

Date 16/12/2020

Elektroimportøren has today been admitted to trading on Euronext Growth (ticker code: ELIMP).

Hong Kong Securities And Futures Commission Licenses First Virtual Asset Trading Platform

Date 16/12/2020

The Securities and Futures Commission (SFC) announces that it has granted the first licence to a virtual asset trading platform in Hong Kong. The platform will only serve professional investors under the close supervision of the SFC and will be subject to tailor-made requirements similar to those which apply to securities brokers and automated trading venues.
Securities Commission Malaysia And Bursa Malaysia To Uplift Temporary Suspension Of Regulated Short Selling On 1 January 2021

Date 16/12/2020

The Securities Commission Malaysia (SC) and Bursa Malaysia Berhad (Bursa Malaysia) will uplift the temporary suspension of Regulated Short Selling (RSS) and have reviewed other market management measures that were introduced this year following heightened market volatility arising from the broader impact of COVID-19.
Results Of Semi-Annual SET Index Series Review For First Half Of 2021

Date 16/12/2020

The Stock Exchange of Thailand (SET) announces the results of the semi-annual index review for SET50, SET100, sSET, SETCLMV, SETHD SETTHSI and SETWB indices for the period of the first half of 2021 (January 1 - June 30).
Securities Commission Malaysia: Audit Partner Fined RM50,000 For Non-Compliance With International Standards On Auditing

Date 16/12/2020

The Securities Commission Malaysia’s (SC) Audit Oversight Board (AOB) has on 21 October 2020 imposed a RM50,000 fine on Muhamad Hafiz Bin Che Yusof, a partner of Morison AAC PLT for failure to comply with the International Standards on Auditing when auditing a public interest entity (PIE).
FSB Reports On Global Trends And Risks In Non-Bank Financial Intermediation

Date 16/12/2020

The Financial Stability Board (FSB) today published the Global Monitoring Report on Non-Bank Financial Intermediation 2020. The report presents the results of the FSB’s annual monitoring exercise to assess global trends and risks in non-bank financial intermediation (NBFI). The report covers data from 29 jurisdictions, representing over 80% of global GDP.