Securities / Derivatives

Enforcement

US SEC Fines BMO Capital Markets Over Bond Desk Supervision Failure

By Nithya Subramanian | 17/01/2025

The SEC said BMO Capital Markets failed to supervise employees who sold mortgage-backed bonds using misleading marketing practices.

Capital / Liquidity

Standard-setters Issue Final Recommendations on Margining Practices

By Manesh Samtani | 17/01/2025

BCBS, CPMI and IOSCO published three final reports aimed at improving transparency, streamlining margin processes, and increasing the predictability of margin requirements

Enforcement

SEBI Settles Case Against 10 Over TV Stock Recommendations

By Nithya Subramanian | 17/01/2025

Among those that settled were SAAR Securities, along with one of its directors, and two directors of the firm’s commodities unit.

Securities / Derivatives

Osaka Exchange to Launch New Natural Rubber Futures Contract

By Thisanka Siripala | 16/01/2025

The futures contract will based on the price of Natural Rubber Futures listed on the Shanghai Futures Exchange

Fintech / Regtech

Tokyo Enhances Execution Environment for Block Trades

By Thisanka Siripala | 16/01/2025

TSE participants can now use an IOI platform to quietly gauge market demand for large stock trades without revealing their intentions to other participants

Market Infrastructure

Pakistan Explores Secondary Listings on Hong Kong Exchange

By Sanday Chongo Kabange | 16/01/2025

Pakistan will also issue yuan-denominated panda bonds in June with the aim of raising funds from Chinese investors

Securities / Derivatives

JSDA Proposes to Revise Rules on Foreign Securities Transactions

By Thisanka Siripala | 16/01/2025

The proposed amendments aim to address the lack of a clear classification for some foreign securities transactions

Enforcement

Zambia Sanctions StanChart for Mis-selling China Property Bond

By Mark Johnston | 16/01/2025

Zambia’s SEC said Standard Chartered failed to disclose material information and used contract clauses which placed all responsibility for risk on clients

ESG / Sustainability

Abaxx Launches Singapore’s First Nickel Sulphate Futures Contract

By Nithya Subramanian | 16/01/2025

The contract addresses a growing need for effective price discovery and risk management in the nickel market, particularly for the EV battery sector, Abaxx said.