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SECURITIES / DERIVATIVES
Enforcement
TAIFEX Amends Rules to Increase Penalties for Violations
By Editors | 23/07/2024
The amendments aim to enhance information security standards within futures firms, and better align with penalties in the securities market.
Securities / Derivatives
Tokyo Bourse Now Requires Earnings Reports in HTML Format
By Editors | 23/07/2024
The TSE has been testing the use of HTML format for disclosures by listed companies since December 2021. HTML submission is now mandatory.
Enforcement
Korea FSS Punishes Brokerage Firm for Mis-selling PE Funds
By Editors | 22/07/2024
Shinyoung Securities failed to properly explain the investment risks to customers when selling Lime and Discovery private equity funds.
Market Infrastructure
China Publishes New Rules for Commodity Price Indexes
By Editors | 22/07/2024
The rules specify the requirements for entities that compile and publish price indexes including disclosure, naming and internal control requirements.
Enforcement
MUFG Pledges to Prevent Recurrence of ‘Firewall’ Breaches
By Editors | 22/07/2024
MUFG will cut the pay of several top executives and has pledged to implement specific improvement measures to prevent any recurrence.
ESG / Sustainability
New Zealand FMA Issues Draft Disclosure Guidance for CREs
By Sanday Chongo Kabange | 22/07/2024
The guidance describes how climate reporting entities should refer to climate statements in documents such as PDS and annual reports.
Fintech / Regtech
Global IT Outage: ‘Significant Number’ of Affected Devices Back Online
By Manesh Samtani | 22/07/2024
NAB, CBA, SGX, LSE, Amex, Barclays, Macquarie Capital, and TD Bank were among those impacted, along with some Indian and Philippine banks.
Enforcement
US SEC Sets Up Interagency Securities Council to Combat Fraud
By Nithya Subramanian | 22/07/2024
The objective of the new council is to strengthen collaboration between federal, state, and local agencies to protect investors from fraud.
Market Infrastructure
HKEX to Allow Secondary Listings from UAE Stock Exchanges
By Sanday Chongo Kabange | 22/07/2024
Companies with primary listings at Abu Dhabi Securities Exchange and Dubai Financial Market can apply for a secondary listing in Hong Kong.
ESG / Sustainability
Thai Stock Exchange to Update ESG Ratings Methodology
By Editors | 21/07/2024
The updated methodology will place “greater emphasis on publicly available information, reinforcing transparency and credibility in the assessment”.
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