SECURITIES / DERIVATIVES

    image

    Enforcement

    Thai SEC Charges Four Brokerage Execs for Stock Manipulation

    By Mark Johnston | 13/09/2023

    Criminal charges were filed against four executives of a brokerage firm, including its CEO, for manipulating prices during a 2018 IPO.

    image

    Securities / Derivatives

    Taiwan to Tighten Rules on ETF Dividend Payouts – Report

    By Mark Johnston | 13/09/2023

    The FSC has received complaints from investors in high-dividend ETFs about the so-called ‘earnings equalisation mechanism’.

    image

    ESG / Sustainability

    ASEAN Exchanges Agree on New Set of ESG Metrics

    By Editors | 13/09/2023

    Previously, Environment (E) and Social (S) metrics were developed. The exchanges have now agreed on complementary Governance (G) metrics.

    image

    Securities / Derivatives

    India to Explore Allowing Domestic Firms to Directly List in London

    By Editors | 13/09/2023

    India’s government will explore the London Stock Exchange as an international destination for the direct listing of Indian companies.

    image

    Market Infrastructure

    CME, DTCC Receive Approval for Cross-Margining Arrangement

    By Editors | 13/09/2023

    The arrangement will enable capital efficiencies for clearing members that trade and clear both US Treasury securities and CME Group interest rate futures.

    image

    Securities / Derivatives

    CSRC Expands Scope of Assets Allowed in Infrastructure REITs

    By Editors | 13/09/2023

    Infrastructure REITs can include “consumer infrastructure” assets – including department stores, shopping malls, and farmers’ markets.

    image

    Enforcement

    Taiwan FSC Fines Fubon and Prudential Units for Misconduct by Employees

    By Editors | 13/09/2023

    Two Fubon employees and one Prudential employee mirrored the trades of the funds they were managing, using third-party accounts.

    image

    Securities / Derivatives

    NSE India Granted Approval for Crude Oil, NatGas Options

    By Editors | 12/09/2023

    NSE India already launched rupee-denominated WTI crude oil and natural gas futures contracts in May 2023. The new options contracts will launch on 23 October.

    image

    Enforcement

    SFC Revokes Fund Manager Licence, Suspends Manager-In-Charge

    By Sanday Chongo Kabange | 12/09/2023

    Axial Capital Management failed to maintain its required liquid capital for 19 straight months and to make various filings on time.

    image

    ESG / Sustainability

    Sri Lanka Revises Corporate Governance Rules for Listed Companies

    By Duruthu E Chandrasekera | 12/09/2023

    The revisions will help to build investor confidence and better align corporate governance practices in Sri Lanka with international standards.

    JOIN OUR NEWSLETTER

    A daily selection of top stories from the Regulation Asia editorial team