SECURITIES / DERIVATIVES

Enforcement

Hong Kong Hedge Fund Manager To Disgorge False Trading Profit

By Sanday Chongo Kabange | 05/07/2024

The MMT has ordered a hedge fund manager to disgorge HK$ 5.6 million illicit profit and disqualified him for four years.

Securities / Derivatives

SEBI Introduces Timelines for CRAs’ Handling of Rating Appeals

By Ajoy K Das | 05/07/2024

Specific timelines have been introduced for dealing with appeals by issuers on rating action during periodic surveillance to enhance business ease and consistency.

Securities / Derivatives

SC Malaysia Issues Warning on Pre-IPO Investment Scams

By Nithya Subramanian | 05/07/2024

These scams primarily revolve around private placement offerings, often coinciding with upcoming IPO listings announced on the Bursa Malaysia website.

Securities / Derivatives

ESMA Publishes Trade Transparency Standards for MiCA

By Editors | 05/07/2024

ESMA report includes standards for how crypto trading platforms should publish data required for pre-and post-trade transparency.

Securities / Derivatives

SEBI Mandates Email for Dispatching Consolidated Account Statements

By Ajoy K Das | 05/07/2024

The regulator has said that CAS will be sent on a monthly basis in case of a transaction in the demat account and on a half-yearly basis if there is no transaction.

Market Infrastructure

ASIC Explores AI for Insider Trading Surveillance

By Sanday Chongo Kabange | 04/07/2024

The Australian regulator is exploring AI and machine learning for potential insider trading surveillance and detection.

Securities / Derivatives

SEBI Cuts Face Value of Debt Securities

By Ajoy K Das | 04/07/2024

A lower ticket size could encourage more participation from retail investors, boosting liquidity.

Securities / Derivatives

China Launches Covered Bond Programme for Private Firms

By Editors | 04/07/2024

Four companies issued bonds on Tuesday through the new programme, which aims to help private businesses secure financing.

Enforcement

Singapore Jails Former Fund Manager for Deceptive Conduct

By Editors | 04/07/2024

Sun Weiyeh is the first to be convicted under the SFA for fraudulent or deceptive conduct relating to OTC bond trading.