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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.
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’.
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.
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.
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.
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.
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.
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.
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.
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.
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