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Securities / Derivatives
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.
Securities / Derivatives
SEBI Proposes to Ease Fundraising Rules for Listed Companies
By Ajoy K Das | 15/01/2024
SEBI proposes to allow certain public investors to contribute towards MPS without being classified as promoter
Securities / Derivatives
Lion Global Investors Unveils Singapore’s First Actively Managed ETF
By Nithya Subramanian | 15/01/2024
The active ETF, launched in collaboration with Nomura Asset Management, employs AI models for dynamic portfolio management.
Securities / Derivatives
HKEX to Support More Mainland Firms to List in Hong Kong
By Sanday Chongo Kabange | 11/01/2024
Under the MoU, HKEX will support Xi’an-based companies that are interested in seeking a listing in Hong Kong.
Crypto / Digital Assets
US SEC Approves Rule Changes Permitting Bitcoin ETFs
By Nithya Subramanian | 11/01/2024
The regulator has also announced investor protection requirements, adding that exchanges will have to adhere to rules to prevent fraud and manipulation.
Big Picture
Teething Issues: OTC Derivatives Reporting Rewrites in APAC
By Manesh Samtani | 10/01/2024
The more challenging aspects of implementation involve jurisdiction-specific data fields, the UTI waterfall, UTI generation, and ISO 20022.
Crypto / Digital Assets
US SEC to Investigate False Tweet on Bitcoin ETF Approvals
By Mark Johnston | 09/01/2024
US SEC claims official X account was hacked, posting a false tweet about approving bitcoin ETFs, causing a brief surge and crash in bitcoin price.
Enforcement
Korea FSS Widens Probe into Sales of High Risk Derivatives
By Manesh Samtani | 09/01/2024
The FSS found that some firms incentivised sales of high-risk and complex ELS products through internal policies and KPIs.
Securities / Derivatives
China Allows Funds to Be Net Sellers of Equity – Report
By Editors | 09/01/2024
The policy shift reverses window guidance issued last year asking funds to avoid being net sellers of equities on any trading day.
Securities / Derivatives
Philippine Regulators Pledge to Deepen Bond Market
By Sanday Chongo Kabange | 09/01/2024
The objective is to increase the diversity of corporate borrowers that issue bonds and to make risk pricing more active.
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