Securities / Derivatives

Securities / Derivatives

Taiwan Revises Incentive Programme for Domestic Fund Managers

By Editors | 09/05/2024

The “Leap Forward Plan” initiative is being refined to make it more targeted towards actively managed funds rather than passively managed funds.

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.