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 Non-Preemptive Share Issues in Asia: Role of Regulation in Investor Protection


Non-Preemptive Share Issues in Asia:

Role of Regulation in Investor Protection 

In this report, we review the regulations governing non-preemptive share issuance based on general mandates across four major jurisdictions in Asia (Hong Kong, Singapore, Thailand, and Malaysia). We then compare these market practices with the UK regulations of preemption and highlight the differences between the two groups. Our objective is to create awareness among investors, regulators, and company management and to draw a broad consensus on the principle of preemption. This report is part of our continued effort to raise the bar on corporate governance principles in Asia and to build trust and transparency among the various stakeholders in Asia’s capital markets.

CFA Institute - Padma Venkat, CFA; Kurt N. Schacht, JD, CFA; Robert W. Dannhauser, CFA; Tony Tan, DBA, CFA

To read the full report, please click HERE.

 Upcoming Events

Start Time
Location InfoFilter
11/5/2014 12:00
Evaluating “Quality” Investments in China’s Dynamic Mobile Internet Industry (Limited seats left!)Use SHIFT+ENTER to open the menu (new window).
FTSE Room (Level 9), Capital Tower, 168 Robinson Road Singapore 068912
11/6/2014 9:00
Masterclass: Excellence in Mergers & Acquisitions Use SHIFT+ENTER to open the menu (new window).
M Hotel Singapore,
81 Anson Road,
Singapore 079908 
11/7/2014 12:00
Exploring Liquid Alternatives (Limited seats left!)Use SHIFT+ENTER to open the menu (new window).
Thomson Reuters Auditorium, Level 28,  One Raffles Quay, North Tower, Singapore 048583
11/8/2014 9:00
CFA Singapore - Mock ExamUse SHIFT+ENTER to open the menu (new window).
Classroom 3.4 & 3.5, Level 3, Lee Kong Chian School of Business, Singapore Management University, 50 Stamford Road Singapore 178899

11/11/2014 12:00
Superior Equity and Credit Investing through Superior Credit Analysis: 150+ Years of Cross-Capital Investing (Limited seats left!)Use SHIFT+ENTER to open the menu (new window).
FTSE Room (Level 9), Capital Tower, 168 Robinson Road Singapore 068912
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 CFA Singapore Events (July 2014)




July started with a PD talk on the Bitcoin industry - where Ms Zann Kwan, CFA provided an introduction to the industry and shared the recent developments and trends in Bitcoin.

Subsequently, Dr Xiangrong Jin shared her views on the US Energy Revolution and how this can be transformed into investment opportunities, offering a diversification benefits relative to traditional asset classes, and powering investors’ portfolio. At another event, Professor Robert Webb made a presentation on the sources of alpha and cited market examples.

Professor John Wong discussed on the current developments to China’s economy and shared his personal observations arising from his research on contemporary China. Lastly, the month ended with a collaborative seminar with SVCA and GLG where Mr Bede Moore shared his perspective on Indonesia E-commerce, de-bunked popular myths and described why he continues to be enthusiastic about this space.

On the Executive Education Programme, Mr. Lawrence Ho conducted the Treasury Risk Management Workshop at Maxwell Chambers.


 CFA Singapore Events (August 2014)



The month of August began with a career panel on CV writing and interview skills for personnel applying for finance and banking jobs presented by Gary Lai from Charterhouse. Subsequently, a panel of CFA practitioners from the Career Development Committee shared how the Program can help advance one’s career and the types of available career opportunities in the industry.

Two networking drinks sessions were held during the month.  The first event was held at Ice-Cold Beer at Emerald Hill while the second event was held at Madison Lounge. This event was exclusively sponsored by RB Global Holdings.

University outreach sessions were held at National University of Singapore and Nanyang Technological University. We organized two Executive Education Programmes in August. The first course, Detecting Deception Workshop, was conducted by Professor Mark Frank while Mr Nick Wade conducted the Quant Workshop.

Three Professional Development talks were conducted for the month of August. Jorry Nøddekær and Antti Savilaakso spoke on seeking the “Next Generation of Emerging Market Leaders" while Mr Sean Reynolds, CFA discussed how Flexible Fixed Income  can be a Return-seeking Strategy. Lastly, Mr Peter Handel shared with all attendees on the importance of employee engagement in this fast-paced changing workplace.



 Update from the Board

To view the update from our Board, click here.


 Candidates' Corner


Your Passport to Global Investment and Finance   

Tens of thousands try, a faction succeed. CFA Singapore offers access to senior practitioners to prepare you for successful navigation of the rigorous CFA Programme.

Click here to find out more



 CFA Singapore Claritas Preparatory Course

To find out more on this course, please click the image above.



 CFA Singapore Quarterly Newsletter

Please click on the link below to view the latest issue of the CFA Singapore Quarterly Newsletter.

            CFA Singapore Quarterly Newsletter - Issue 15 (Oct' 14)
(Link will be updated shortly)
To view the PDF copies of past issues of our CFA Singapore Quarterly Newsletter, please click HERE


 CFA Institute Asia-Pacific Career Guide 2014

This guide is a navigational tool to find your way around the finance industry.


Click here to view the CFA Institute Asia-Pacific Career Guide for 2014.


 Angel Investors Tax Deduction Scheme (AITD)


The Angel Investors Tax Deduction Scheme is a tax incentive which aims to stimulate business angel investments into Singapore-based start-ups and encourage more angel investors to add value to these start-ups. Click here for more information.


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