Securities / Derivatives

Enforcement

SFC Imposes Six Month Ban on Former Goldman Trader

By Mark Johnston | 25/09/2024

The former trader tried to dishonestly conceal a trade execution error, in breach of the Code of Conduct.

Market Infrastructure

SGX Mulls Establishment of New Office in Dubai – Report

By Nithya Subramanian | 25/09/2024

SGX is exploring the possibility of opening an office in Dubai as a number of major funds relocate to the UAE.

Enforcement

SFC Suspends Ever-Long Securities Director for Sponsor Failures

By Mark Johnston | 25/09/2024

The SFC said the former RO breached the Code of Conduct and failed to exercise due skill, care, and diligence in sponsor work.

ESG / Sustainability

RIAA Launches Investor Toolkit on Nature-related Risks

By ESG Investor | 25/09/2024

The Nature Investor Toolkit, supported by ISS ESG and Pollination, aimes to help investors identify and assess nature-related risks and opportunities.

Market Infrastructure

SEBI Eases Financial Disincentive Rules for Technical Glitches at MIIs

By Ajoy K Das | 25/09/2024

Financial disincentives for key executives will no longer be triggered automatically in the event of a technical glitch at an MII.

Securities / Derivatives

CSRC Enhances Securities Industry Risk Control Indicator System

By Editors | 25/09/2024

The standards used by securities firms to calculate risk control indicators have been optimised and improved.

Securities / Derivatives

Vietnam Eases Pre-Funding Rules for Foreign Investors

By Nithya Subramanian | 24/09/2024

Securities firms will be able to place orders for foreign institutional investors before they have deposited the required funds in their accounts.

Market Infrastructure

ASIC Reviewing Approach to Regulating Market Infrastructure

By Thisanka Siripala | 24/09/2024

ASIC will work with the RBA and industry to develop guidance on the use of its new powers to regulate financial market infrastructure.

Securities / Derivatives

Individuals Consistently Lose Money in Derivatives: SEBI

By Ajoy K Das | 23/09/2024

Around 93 percent of individual traders incurred losses through intraday derivatives trading during 2021-24.