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SECURITIES / DERIVATIVES
Enforcement
CFTC Fines JPMorgan $200m Over Trade Surveillance Gaps
By Editors | 24/05/2024
Half of the penalty will be offset by resolutions made with the OCC and Federal Reserve Board in March.
Market Infrastructure
SIX and Korea Securities Depository Announce New MoU
By Mark Johnston | 23/05/2024
The collaboration, facilitated through SIX’s subsidiary SIX SIS, aims to enhance securities depository and settlement services.
Enforcement
US SEC Fines ICE for Late Notification of Cyber Intrusion
By Editors | 22/05/2024
Commissioners Hester Peirce and Mark Uyeda said the $10mn penalty was “disproportionately large” and creates a “counter-productive dynamic” with regulated entities.
Market Infrastructure
FSB Considers Ways to Enhance Resilience of CP and CD Markets
By Editors | 22/05/2024
CP and CD markets feature limited secondary market activity due to the buy-and-hold nature of these instruments, the FSB says.
Enforcement
UK Regulators Fine Citi Over Trader’s Mistake, Control Failings
By Editors | 22/05/2024
A trader inadvertently placed sell orders worth $444bn instead of $58 million. Citi’s electronic trading system generated additional erroneous orders.
Securities / Derivatives
Korea: FSS Head Considers Partial Lifting of Short Selling Ban
By Editors | 22/05/2024
FSS Governor Lee Bok-hyun said he personally wishes to allow short selling practices in June, at least partially.
Securities / Derivatives
DTCC Completes Blockchain Pilot for Mutual Fund Data
By Editors | 22/05/2024
The pilot explored the feasibility of delivering NAV data for mutual funds across different blockchain networks.
Securities / Derivatives
SEBI Issues Framework for Managing Price Impact from Market Rumours
By Ajoy K Das | 22/05/2024
Listed entities are required to verify market rumours within 24 hours if these rumours cause a material price movement.
Securities / Derivatives
SEBI Proposes to Allow Indian MFs to Invest in Overseas Funds
By Ajoy K Das | 21/05/2024
Regulator to allow investments in overseas funds having a maximum exposure to Indian securities of 20 percent of net assets.
Securities / Derivatives
Bursa Malaysia Introduces New Investor Protection Tool
By Nithya Subramanian | 21/05/2024
The newly launched Trading Reminders will alert investors to be cautious with stocks showing unusual movements.
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