SECURITIES / DERIVATIVES

Securities / Derivatives

Thai SEC Issues Market Entry Guidelines for Foreign Firms

By Editors | 23/09/2024

The SEC said it will fast-track the licence approval process to better facilitate the entry of qualified foreign businesses into the Thai market.

ESG / Sustainability

CFTC Finalises Guidance for Listing Carbon Credit Derivatives

By Editors | 23/09/2024

The CFTC said the guidance will help to promote standardisation of VCC derivative products in a manner that “promotes transparency and liquidity”.

Market Infrastructure

BIS Paper Examines Central Clearing in Government Bonds

By Manesh Samtani | 22/09/2024

New BIS paper says centrally clearing could help mitigate risks and improve intermediation but introduce different challenges.

Crypto / Digital Assets

HSBC Tests Post-Quantum Cryptography With Tokenised Gold

By Manesh Samtani | 21/09/2024

HSBC pilot-tested the ability to move gold tokens across different ledgers while protecting against quantum computing attacks.

Enforcement

SC Malaysia Charges Former CIMB Banker for Securities Fraud

By Nithya Subramanian | 21/09/2024

The former banker allegedly defrauded seven investors of MRW 201,000 and carried out unlicensed fund management activities.

Market Infrastructure

ASIC Issues Guidance on Identifying Critical Business Services

By Thisanka Siripala | 21/09/2024

ASIC found deficiencies in how market participants are identifying critical business services and notifying the regulator of potentially disruptive events.

Securities / Derivatives

US SEC Adopts Market Reforms, Including Lower Tick Sizes

By Editors | 21/09/2024

SEC Chair Gary Gensler said the reforms will help promote greater transparency, competition, fairness, and efficiency in the equity market.

Enforcement

US SEC Fines Macquarie Unit $80m for Overvalued CMOs

By Nithya Subramanian | 20/09/2024

The Macquarie unit overvalued odd lot CMO positions and then executed cross trades to push the resulting losses to retail funds.

Securities / Derivatives

Hong Kong Market Will Stay Open During Typhoons Starting Monday

By Manesh Samtani | 20/09/2024

Market participants accounting for 99.9% of the securities market and all derivatives participants have declared they are fully prepared for the reform.