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Enforcement
US SEC Fines JP Morgan for Impeding Potential Whistleblowers
By Nithya Subramanian | 17/01/2024
The firm’s securities unit has been fined USD 18 million for disallowing clients from contacting the SEC.
Capital / Liquidity
BIS Launches Consultation on Improving CCP Margin Requirements
By Nithya Subramanian | 17/01/2024
The report prepared by BCBS, CPMI and IOSCO has called for enhanced information sharing, better governance frameworks and greater transparency.
Securities / Derivatives
Tokyo Bourse Names Firms With Capital Efficiency Plans
By Editors | 16/01/2024
The list is intended to “name and shame” companies that don’t disclose plans to increase their capital efficiency
Securities / Derivatives
Malaysia to Exempt Unit Trusts from CGT, FSI Tax
By Editors | 16/01/2024
The exemption on CGT is effective until 31 Dec 2028. The exemption on FSI is effective until 31 Dec 2026.
Securities / Derivatives
Bursa Malaysia Launches Transition to “Multi-asset Exchange”
By Manesh Samtani | 16/01/2024
Bursa Malaysia launched a gold trading platform, a new customer portal, and a new platform to connect investors directly with dealer representatives.
Securities / Derivatives
SFC Defers Margin Requirements for Non-Centrally Cleared Equity Options
By Sanday Chongo Kabange | 16/01/2024
The SFC is delaying margin requirements for non-centrally cleared equity options to align with the UK and EU’s timelines.
Market Infrastructure
HKEX Holiday Trading to Include Currency Futures, Options from 29 March
By Sanday Chongo Kabange | 16/01/2024
HKEX will include currency futures and options in derivatives holiday trading starting from 29 March 2024.
Securities / Derivatives
Beijing Stock Exchange Commences Corporate Bond Trading
By Nithya Subramanian | 16/01/2024
Three bonds raised a combined CNY 2.48 billion; enterprise bond trading on the BSE is expected to broaden China’s capital markets.
Enforcement
Korea Confirms Illegal Short Selling by Two More Global Banks
By Editors | 15/01/2024
The FSS said it has confirmed that two investment banks submitted naked short selling orders worth a combined KRW 54 billion.
Enforcement
US SEC, DOJ Settle Morgan Stanley Block Trading Probe
By Sanday Chongo Kabange | 15/01/2024
Morgan Stanley agreed to pay more than USD 249 million to settle fraud charges and for failing to enforce information barriers.
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