Securities / Derivatives

Enforcement

Ex-CITIC Banker Ordered to Disgorge Insider Dealing Profits

By Sanday Chongo Kabange | 31/07/2024

Hong Kong’s Market Misconduct Tribunal also banned the former executive deputy general manager from certain activities for three years.

Enforcement

ANZ Working to Address Conduct Issues With “Urgency”

By Sanday Chongo Kabange | 31/07/2024

ANZ said it has suspended, terminated and issued a formal warning to several employees in its Sydney dealing room.

Enforcement

MAS Reprimands RVP One & CEO for Regulatory Breaches

By Nithya Subramanian | 31/07/2024

The RFMC failed to submit information about its financial returns and notify MAS of changes to its shareholding structure, MAS said.

Securities / Derivatives

Japan Seeking More Foreign Participation in JGB Market

By Editors | 31/07/2024

The government reportedly plans to designate brokerage firms to work on outreach activities to attract overseas investors into the JGB market.

Securities / Derivatives

NSE Launches Resource Dedicated to Passive Funds in India

By Ajoy K Das | 31/07/2024

The platform makes it easier for retail investors to access information and understand passive funds like ETFs and index funds, NSE said.

Securities / Derivatives

CFTC Expands Access to Foreign Futures for US Investors

By Editors | 30/07/2024

Commissioner Caroline Pham says US market participants will have more choice in brokers and broker arrangements to trade foreign futures.

Securities / Derivatives

Bursa Malaysia Reprimands, Fines Former Kenanga Broker

By Ranamita Chakraborty | 30/07/2024

The former dealer’s representative at Kenanga Investment Bank engaged in manipulative trading practices involving 11 stocks over six months.

ESG / Sustainability

ASX Launches First Environmental Futures Contracts

By Sanday Chongo Kabange | 30/07/2024

Three new environmental futures contracts will allow market participants to price and hedge emissions reduction risks, ASX said.

Enforcement

ASIC Launching Dedicated Criminal Investigation Team

By Editors | 30/07/2024

The team will help speed up insider trading investigations and increase the number of cases that are referred for prosecution.