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SECURITIES / DERIVATIVES
Enforcement
US SEC Fines Billionaire Investor Carl Icahn for Disclosure Failures
By Editors | 20/08/2024
Carl Icahn failed to disclose pledges of more than half of his stock in publicly traded Icahn Enterprises for billions of dollars in personal margin loans.
Crypto / Digital Assets
ICMA Publishes New GMRA Annex Dedicated to Digital Assets
By Editors | 19/08/2024
The Annex was prepared by ICMA, ISLA, and Clifford Chance to provide a standardised framework for documenting repo transactions involving digital assets.
Securities / Derivatives
SEBI Permits Market Borrowings by Category I and II AIFs
By Ajoy K Das | 19/08/2024
Under existing rules, Category I and II AIFs are not allowed to borrow or use leverage for investments, except in limited cases for temporary needs.
Enforcement
Korean Expands Probe into Unfair Practices in ETF Market
By Editors | 19/08/2024
The FSS is investigating whether asset managers had help from group affiliates to increase the net asset values of ETFs they issued.
Securities / Derivatives
Malaysia SC Calls on VC/PE Firms to List on Public Register
By Ranamita Chakraborty | 19/08/2024
VC/PC intermediaries that are not yet listed on the public register must contact the SC within 14 days to avoid potential deregistration.
Fintech / Regtech
Getting Your Ducks in a Row for APAC Rules Rewrites
By Priya Kundamal | 19/08/2024
DTCC’s Priya Kundamal discusses the lessons learned from markets that have implemented the first phase of changes to derivatives reporting rules.
Fintech / Regtech
Hong Kong SFC Proposes to Abolish Mixed Media Offers
By Sanday Chongo Kabange | 19/08/2024
The SFC says MMOs have become “obsolete” since the introduction of the paperless listing and subscription regime in 2021.
Fintech / Regtech
HKEX Consults on Expanding Paperless Listing Regime
By Sanday Chongo Kabange | 19/08/2024
The proposed reforms will provide securities holders with electronic options to give instructions to issuers, receive payments such as dividends, and pay subscription monies for offers.
Securities / Derivatives
SC Malaysia Launches New Initiative to Boost Agri-Business Financing
By Nithya Subramanian | 19/08/2024
GROWMatch will tap into equity crowdfunding and P2P financing platforms to support MSMEs in the agri-business sector.
Securities / Derivatives
Indonesia to Establish Money Market CCP by End of Year
By Editors | 19/08/2024
Bank Indonesia and eight banks will invest in and help develop the CCP, which will be housed under IDClear, the CCP for the country’s capital market.
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