ADVERTISEMENT
Securities / Derivatives
Enforcement
ASIC Fines Instinet Over ‘Set and Forget’ Compliance Culture
By Sanday Chongo Kabange | 07/12/2023
ASIC said Nomura subsidiary Instinet failed to provide clients with all necessary information about the operation of its crossing system.
Enforcement
Korea FSS Prepares for Fallout from Derivatives Losses
By Editors | 07/12/2023
Banks and brokers are expected to have to compensate investors for losses on HSCEI-linked derivatives when the products mature next year.
Securities / Derivatives
Japan Brokers Face Fresh Credit Suisse related Lawsuits
By Editors | 06/12/2023
SBI Securities, Rakuten Securities and Monex Securities are accused of not fully explaining the characteristics and risks of Credit Suisse’s ATI debt.
Market Infrastructure
PBOC Issues New Rules for Bond Valuation Agencies
By Editors | 06/12/2023
The rules will improve transparency over the selection and use of data sources, valuation methodologies, and conflicts of interest
Fintech / Regtech
China Issues Operational Risk Guidelines for Securities Industry
By Manesh Samtani | 06/12/2023
Any major operational risk event that occurs must be reported to the SAC on the same day, along with related impacts and response measures.
Enforcement
FSC Korea Sanctions NH Futures Over Illegal FX Transactions
By Sanday Chongo Kabange | 06/12/2023
The FSC has suspended NH Futures’ foreign exchange operations from 4 December 2023 to 9 May 2024.
Securities / Derivatives
Korean Law Firms File Complaint Against HSBC, BNP Paribas – Report
By Editors | 06/12/2023
The complaint calls on Seoul prosecutors to swiftly investigate the banks’ short-selling practices in cooperation with the FSS and Hong Kong authorities.
Enforcement
ASIC Warns Online Trading Providers Over Risky Offers
By Sanday Chongo Kabange | 06/12/2023
ASIC found that some online trading providers unfairly influenced consumer decisions and made misleading disclosures during the Covid-19 pandemic.
Securities / Derivatives
SGX Sets Out Listing Requirements for Active ETFs
By Sanday Chongo Kabange | 06/12/2023
Active ETF managers must publish indicative NAV throughout the trading day, disclose NAV daily, and publish fund performance and portfolio holdings monthly.
Securities / Derivatives
SEBI Implements Three-Day Timeline for IPO Listings
By Ajoy K Das | 06/12/2023
The new mandatory three-day timeline from IPO close to listing took effect on 1 December, and will benefit both issuers and investors.
JOIN OUR NEWSLETTER
A daily selection of top stories from the Regulation Asia editorial team