SECURITIES / DERIVATIVES

Securities / Derivatives

English Disclosure Still Inadequate in Japan Market: Survey

By Editors | 04/09/2023

The TSE said it plans to initiate discussions on measures that would make English disclosures mandatory for Prime Market companies.

Enforcement

Taiwan: Cathay Financial Units Fined for Connectivity Issues

By Editors | 04/09/2023

Cathay Securities and Cathay Futures failed to perform capacity tests and application system stress testing operations, the FSC said.

Securities / Derivatives

New Rules for CFD Trading Take Effect in Korea

By Editors | 03/09/2023

Only four of 13 local securities firms that offered CFD trading have decided to resume the service under the new regulations.

Fintech / Regtech

China Issues New Data Security Rules for Money Brokers

By Editors | 03/09/2023

The rules set out requirements for money brokers that provide data services to customers. A list of permitted data recipients is published.

Enforcement

OCCRP Report Deals Fresh Blow to India’s Adani Group

By Mark Johnston | 03/09/2023

The OCCRP says Adani Group breached India’s minimum public shareholding rules. SEBI is waiting for information from five foreign jurisdictions to confirm.

Market Infrastructure

CSRC Unveils 19-Point Enhancement Plan for Beijing Stock Exchange

By Editors | 01/09/2023

The plan includes more market makers, and greater participation from overseas investors, publicly offered funds, and private equity funds, among other measures.

Market Infrastructure

ASIC, RBA Set Expectations for ASX Industry Engagement

By Editors | 01/09/2023

ASIC and the RBA directed ASX to use its new advisory group to seek advice on Australia’s possible implementation of T+1 settlement.

Capital / Liquidity

Investors Sue MUFG Unit Over Credit Suisse AT1 Losses

By Editors | 01/09/2023

The plaintiffs say Mitsubishi UFJ Morgan Stanley Securities sold them the AT1 bonds without providing sufficient explanations and in violation of suitability rules.

Securities / Derivatives

PBOC Pledges to Ease Funding Access for Private Enterprises

By Editors | 01/09/2023

Lenders will be required to set annual goals for lending to private enterprises; this lending will carry extra weight in banks’ performance reviews.