SECURITIES / DERIVATIVES

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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.

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    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.

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    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

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    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.

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    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.

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    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.

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    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.

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    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.

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    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.

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    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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