Securities / Derivatives

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    Securities / Derivatives

    FINRA Fines BofA & Merrill Lynch $3m for Surveillance Failures

    By Nithya Subramanian | 04/09/2024

    FINRA said the parameters of the surveillance systems were set too narrowly, leading to failures to detect potentially manipulative trading.

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    ESG / Sustainability

    Bursa Malaysia Receives SBTi Validation for Net Zero Targets

    By Editors | 04/09/2024

    Bursa Malaysia is the first exchange in Asia to have SBTi validation for both its near- and long-term emission reduction targets.

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    ESG / Sustainability

    Chinese Issuers Increasingly Adopting CGT in Green Bond Issuances

    By Manesh Samtani | 04/09/2024

    As of 31 July, 325 green bonds aligned with the China-EU Common Ground Taxonomy have been issued in China’s interbank market.

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    Capital / Liquidity

    Japan FSA to Strengthen Monitoring of Financial Institutions

    By Thisanka Siripala | 04/09/2024

    The FSA’s priorities include a stronger focus on corporate governance, risk management, and the asset management reforms.

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    Securities / Derivatives

    SFC Issues Licensing Guidance for Visiting and Returning Professionals

    By Sanday Chongo Kabange | 03/09/2024

    The SFC provides guidance on licensing options for professionals visiting and returning to Hong Kong to conduct regulated activities.

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    Securities / Derivatives

    Tokyo Bourse Secures New Partners for ‘TSE Asia Startup Hub’

    By Nithya Subramanian | 03/09/2024

    Malaysia’s VentureTECH is among the firms participating in the TSE initiative, which seeks to attract IPOs from across the region.

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    Securities / Derivatives

    SEBI Proposes to Update Record Keeping Requirements

    By Ajoy K Das | 03/09/2024

    SEBI proposes to make it mandatory for regulated entities to maintain records of communications for a minimum eight years.

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    Enforcement

    Korean Courts Overturn Two FSC Penalty Decisions

    By Editors | 03/09/2024

    A KRW 669.1 million fine against Shinhan Investment Corp and a KRW 1 billion fine against Kepler Cheuvreux were overturned.

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    Market Infrastructure

    Deadline Fast Approaching for New Trade Reporting Rules in Australia and Singapore

    By Manesh Samtani | 03/09/2024

    DTCC, MAS and ASIC are calling on market participants to accelerate testing efforts to ensure readiness for new reporting rules that go live on 21 October.

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    Securities / Derivatives

    HKEX Launches Weekly Options on Hang Seng TECH Index

    By Sanday Chongo Kabange | 03/09/2024

    In November, HKEX will also launch weekly options on stocks including HSBC Holdings, Alibaba, Tencent Holdings and BYD.

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