SECURITIES / DERIVATIVES

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    Enforcement

    SFC Suspends Ever-Long Securities Director for Sponsor Failures

    By Mark Johnston | 25/09/2024

    The SFC said the former RO breached the Code of Conduct and failed to exercise due skill, care, and diligence in sponsor work.

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    ESG / Sustainability

    RIAA Launches Investor Toolkit on Nature-related Risks

    By ESG Investor | 25/09/2024

    The Nature Investor Toolkit, supported by ISS ESG and Pollination, aimes to help investors identify and assess nature-related risks and opportunities.

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    Market Infrastructure

    SEBI Eases Financial Disincentive Rules for Technical Glitches at MIIs

    By Ajoy K Das | 25/09/2024

    Financial disincentives for key executives will no longer be triggered automatically in the event of a technical glitch at an MII.

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    Securities / Derivatives

    CSRC Enhances Securities Industry Risk Control Indicator System

    By Editors | 25/09/2024

    The standards used by securities firms to calculate risk control indicators have been optimised and improved.

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    Securities / Derivatives

    Vietnam Eases Pre-Funding Rules for Foreign Investors

    By Nithya Subramanian | 24/09/2024

    Securities firms will be able to place orders for foreign institutional investors before they have deposited the required funds in their accounts.

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    Market Infrastructure

    ASIC Reviewing Approach to Regulating Market Infrastructure

    By Thisanka Siripala | 24/09/2024

    ASIC will work with the RBA and industry to develop guidance on the use of its new powers to regulate financial market infrastructure.

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    Securities / Derivatives

    Individuals Consistently Lose Money in Derivatives: SEBI

    By Ajoy K Das | 23/09/2024

    Around 93 percent of individual traders incurred losses through intraday derivatives trading during 2021-24.

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    Securities / Derivatives

    SEBI Grants Mutual Funds More Flexibility to Trade CDS

    By Ajoy K Das | 23/09/2024

    SEBI expects the move to drive growth in fixed income markets as it would allow mutual funds to hedge against bond defaults.

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    Enforcement

    JSDA Fines MUFG Units for Sharing Client Information

    By Editors | 23/09/2024

    Mitsubishi UFJ Bank and two affiliated securities firms were fined for sharing non-public information without permission.

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    Enforcement

    Morgan Stanley Under Scrutiny in Korea for Stock Sale

    By Editors | 23/09/2024

    Morgan Stanley’s Seoul branch reportedly sold 1m SK Hynix shares two days before releasing research on the company.

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