SECURITIES / DERIVATIVES

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    Securities / Derivatives

    China: Fund Houses Slash ETF Fees as Active Managers Underperform

    By Mark Johnston | 22/11/2024

    Major Chinese fund companies have announced significant fee reductions for equity ETFs, intensifying competition in the rapidly expanding market.

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    Fintech / Regtech

    Goldman Sachs to Make GS DAP Platform “Industry-owned”

    By Nithya Subramanian | 22/11/2024

    Goldman will establish a new, standalone company to spin out GS DAP so that it can be used by more participants to interoperate seamlessly.

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    Enforcement

    SFC Suspends Former Yuanta Securities Licensee for 26 Months

    By Mark Johnston | 22/11/2024

    The former licensee had a secret profit-sharing agreement with a client, failed to disclose personal dealings, and made false representations to the SFC.

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    Enforcement

    Former Richmond Fed Official Pleads Guilty to Insider Trading

    By Mark Johnston | 22/11/2024

    The official used confidential information about FIs under Federal Reserve Bank of Richmond supervision to profit from stock trading.

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    Market Infrastructure

    ASX Amends Position Reporting Framework, Operating Rules

    By Editors | 21/11/2024

    The changes aim to align terminology with global practice, clarify reporting requirements, and remove burdensome notification requirements.

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    Securities / Derivatives

    Dalian Commodity Exchange Launches Log Futures, Options

    By Editors | 21/11/2024

    The new contracts are expected to facilitate more open and transparent log pricing and enhance China’s influence in the global timber industry.

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    Enforcement

    US Court Sentences Archegos Founder to 18 Years in Jail

    By Nithya Subramanian | 21/11/2024

    Bill Hwang caused over $100bn in shareholder losses at companies in Archegos’ portfolio and $10bn in losses at banks that lent to the firm.

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    Securities / Derivatives

    FSC Korea Amends Rules to Boost Competitiveness of Public Funds

    By Mark Johnston | 21/11/2024

    South Korea’s FSC has announced regulatory amendments aimed at enhancing the competitiveness of public funds while also enhancing investor protections.

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    Enforcement

    Korea FSS to End Short-Selling Investigation by Year-End

    By Nithya Subramanian | 20/11/2024

    FSS Governor Lee Bok-hyun told Hong Kong institutional investors that the investigation into illegal short selling will be complete by year-end.

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    Enforcement

    CSRC Takes Over Futures Firm for “Out-of-control Management”

    By Editors | 20/11/2024

    Hehe Futures Co Ltd is controlled by Lin Qiang, a fugitive tycoon who was arrested in Indonesia last month after fleeing China in August 2023.

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