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Securities / Derivatives
Enforcement
Japan FSA Orders MUFG Units to Correct Control Deficiencies
By Mark Johnston | 26/06/2024
The MUFG units breached Japan’s “firewall” regulations by sharing non-public client information without authorisation, the FSA said.
Securities / Derivatives
UBS Partially Offloads Stake in Credit Suisse China Venture
By Nithya Subramanian | 25/06/2024
UBS had to reduce its stake because foreign shareholders are not allowed to simultaneously hold majority stakes in more than one domestic brokerage.
Securities / Derivatives
Invesco Launches First European ETF Tracking ChiNext
By Nithya Subramanian | 25/06/2024
The fund will invest in companies involved in innovative sectors such as artificial intelligence, electric vehicles, robotics and biotech.
Securities / Derivatives
Nasdaq Scrutinising IPO Applicants from China, Hong Kong
By Mark Johnston | 25/06/2024
Nasdaq officials have reportedly been inquiring into the identities and independence of pre-IPO investors of Chinese and Hong Kong companies seeking to list in the US.
Enforcement
UAE Extradites Former CEO to Thailand to Face Fraud Charges
By Editors | 25/06/2024
The former CEO of Stark Corporation was extradited to Thailand after being on the run for around eight months.
Securities / Derivatives
India Mulls Higher Tax for Derivatives to Deter Retail Investors
By Ajoy K Das | 25/06/2024
Proposals include a tax that would be deducted at source and a 30 percent capital gains tax, like what was introduced for crypto.
Securities / Derivatives
Korea Issues Regulatory Change Notices Relating to Short-Selling Ban
By Editors | 25/06/2024
The notices will implement reforms aimed at improving Korea’s short-selling system, including reducing the cash collateral ratio for retail investors.
Securities / Derivatives
CSRC Pledges to Expedite Approval Process for Overseas Listings
By Editors | 24/06/2024
CSRC vice chairman Fang Xinghai said there is a “long queue of companies” waiting to complete their registration for overseas listing applications.
Crypto / Digital Assets
SNB Extends CBDC Project ‘Helvetia’ for Two More Years
By Editors | 24/06/2024
The SNB said it has become “the world’s first central bank” to carry out a monetary policy operation in a live production environment using DLT.
AML / KYC
Korea: Simpler Registration Requirement Yielding More Foreign Inflows
By Editors | 24/06/2024
Around 300-400 new accounts are now being opened each month by foreign investors, compared to just 105 monthly during 2023.
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