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Securities / Derivatives
Market Infrastructure
WFE Paper Calls for Risk Sensitive Approach to AI Regulation
By Thisanka Siripala | 06/11/2024
The paper says AI-driven systems in financial markets should be regulated using the same core principles that apply to existing technologies.
Crypto / Digital Assets
Hong Kong Broker to Launch ‘Virtual Asset Structured Products’
By Editors | 06/11/2024
Victory Securities said the SFC has granted it approval to market and distribute “cash-settled virtual asset structured products” to qualified professional investors.
Securities / Derivatives
CSRC Grants Morgan Stanley Final Approval for Futures Business
By Editors | 06/11/2024
Morgan Stanley will become just the second foreign firm after JPMorgan to have a fully-owned futures business in China.
Enforcement
FSS Now Also Probing KB Securities in Korea Zinc Case
By Editors | 06/11/2024
KB Securities joins Mirae Asset Securities as a firm being probed over Korea Zinc’s recent share buyback and capital increase plan.
Market Infrastructure
FSB to Pivot NBFI Work Towards More Targeted Approach – Report
By Editors | 06/11/2024
Two priority areas that could be brought into greater focus include basis trades used by hedge funds and vulnerabilities in private asset markets.
Securities / Derivatives
Korea Strengthens Requirement to Disclose Short Position Balances
By Editors | 05/11/2024
The revision requires investors with a net short position balance of 0.01 percent to disclose balances, compared to 0.5 percent previously.
Market Infrastructure
Hang Seng Indexes Company Signs Pact with Saudi Exchange
By Sanday Chongo Kabange | 05/11/2024
The two sides will cooperate on the exchange of index data, product development, and industry knowledge sharing.
Press Release
Regulation Asia Awards for Excellence 2024 – Results Announcement
By Editors | 05/11/2024
Regulation Asia held its 7th annual Awards ceremony on 4 November 2024. Here we announce the winners in each category.
Crypto / Digital Assets
SBI Digital Markets to Push Adoption of Tokenised Securities
By Nithya Subramanian | 05/11/2024
SBI Digital Markets will focus its efforts on building regulated frameworks to facilitate the end-to-end flow of tokenised securities.
Enforcement
US SEC Fines JPMorgan Units $151m for Regulatory Violations
By Editors | 05/11/2024
The amount includes $61mn of civil penalties and $90mn of reimbursements to customers, settling five separate enforcement actions brought by the SEC.
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