To disclose or not disclosure? Sometimes, it is complicated!
To disclose or not disclosure? Sometimes, it is complicated! Post by Caleb Woo, Co-Founder A court judgement in Taiwan upheld a FSC penalty for non-disclosure of a substantial shareholding position, stating that – “Shares Held under the Names of Third Parties“ are under the obligation to disclose shareholding under the Securities and Exchange Act. The […]
How to get started on your RegTech journey?
How to get started on your RegTech journey? Post by Michael Chen, Head of Partnerships Singapore’s central bank, the Monetary Authority of Singapore (MAS), has recently been named as one of the best regulators in the world, and it is easy to see why. Our experience with MAS is that they have been very approachable, […]
Regulators globally are starting to focus on short selling
Regulators globally are starting to focus on short selling Post by Michael Chen, Head of Partnerships Regulators globally are focusing on improving shareholding disclosures with the aim to increase transparency and governance for the sake of minority shareholdings and investors globally whereby non-compliance can lead to large fines for the firms, and more importantly, and […]
Regulators are focusing increasingly on the risk of concentrated stock exposures
Regulators are focusing increasingly on the risk of concentrated stock exposures Post by Caleb Woo, Co-Founder In the wake of the financial crisis in 2009, regulators around the world embarked on OTC derivatives reform regulations, in which market participants would send their OTC derivatives to a centralized data repository. The HKMA introduced such regulations in […]