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SECURITIES / DERIVATIVES
Enforcement
US Trial Begins Over Collapse of Archegos Capital Management
By Manesh Samtani | 09/05/2024
Archegos Founder Bill Hwang is charged with racketeering conspiracy, securities fraud, wire fraud and market manipulation.
Fintech / Regtech
Korea Launches Web-Based FX Trading Platform
By Mark Johnston | 09/05/2024
Koscom developed the platform to enhance accessibility to the domestic FX market, including for foreign firms.
Enforcement
ASIC Fines JP Morgan Unit for Failure to Detect Suspicious Trades
By Sanday Chongo Kabange | 09/05/2024
The case highlights that market participants “cannot solely rely on automated trade monitoring systems” to detect potential misconduct.
Securities / Derivatives
CSRC Sets New Targets for Inspections of IPO Applicants
By Manesh Samtani | 09/05/2024
The inspections involve scrutiny of old business deals, personal bank accounts, and examinations of mobile phones and laptops.
Market Infrastructure
ESMA Seeks Input on Changes to UCITS Framework
By Mark Johnston | 09/05/2024
ESMA seeks input on expanding UCITS eligible assets to crypto, catastrophe bonds, emission allowances and other asset classes.
Securities / Derivatives
SEBI Rejects NSE Proposal for Extended Trading Hours
By Ajoy K Das | 08/05/2024
SEBI cited a lack of feedback from the stock broking community. NSE has now shelved its extended time frame plan.
Enforcement
US SEC Notifies Robinhood of Pending Enforcement Action
By Editors | 08/05/2024
The action is related to the cryptocurrencies offered on Robinhood’s platform, some of which may be classified by the SEC as securities.
Fintech / Regtech
Malaysia Launches New Platform to Connect Investors and DRs
By Mark Johnston | 08/05/2024
The “Bursa Reach” platform allows dealer’s representatives to showcase their expertise and profiles with investments.
Big Picture
Regulatory Hurdles Limit Adoption of Tokenised Alternative Assets
By Nithya Subramanian | 08/05/2024
Moody’s Investors Service outlines the technical and regulatory hurdles that may limit adoption of tokenised alternative assets.
ESG / Sustainability
ASIC to Update Guidance for Carbon Market Participants
By Editors | 08/05/2024
The proposed updates seek to address the implications of the safeguard mechanism reforms which commenced on 1 July 2023.
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