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SECURITIES / DERIVATIVES
Securities / Derivatives
Korea Adopts Two Prong Approach to Boost Tech Listings
By Sanday Chongo Kabange | 21/06/2023
Regulators will run a month-long roadshow promoting stock listings by tech firms, and work to enact further facilitative rule changes.
Enforcement
SEBI Punishes 135 Entities Over Stock Manipulation Scheme
By Sanday Chongo Kabange | 21/06/2023
SEBI fined 135 entities and barred them from accessing the securities market over a stock manipulation scheme.
Enforcement
US Jury Finds Ex-Goldman Sachs VP Guilty of Insider Trading
By Mark Johnston | 21/06/2023
Brijesh Goel tipped his friend about six potential mergers that Goldman Sachs was considering funding.
Enforcement
Korea FTC Investigates Securities Firms for Price Fixing
By Sanday Chongo Kabange | 21/06/2023
The FTC sent investigators to the offices of Samsung Securities, Meritz Securities, Kiwoom Securities and KB Securities and seized documents.
Securities / Derivatives
SEBI Mandates Simplified Stock Market Access for Clients
By Mark Johnston | 21/06/2023
Brokers are mandated to offer clients access to all active stock exchanges they are registered with by default.
Securities / Derivatives
SEBI Directs Online Bond Platforms to Stop Offering Prohibited Products
By Ranamita Chakraborty | 21/06/2023
SEBI has observed that some online bond platform providers are offering clients access to unlisted bonds and other unregulated products.
Fintech / Regtech
SFC Grants Securities Licence to Virtual Bank for the First Time
By Editors | 21/06/2023
With the new licence, Mox Bank will start piloting Hong Kong and US equity trading services in the HKMA sandbox “soon”.
Capital / Liquidity
Initial Margin Breaches Surged in March at JSCC JGB Division
By Editors | 20/06/2023
The JSCC reportedly attributed the rise in breaches to interest rate volatility triggered by banking turmoil in the US in March.
Capital / Liquidity
BOE to Include Hedge Funds, Pension Funds in Scenario Exercises
By Editors | 20/06/2023
The system-wide exploratory scenario will encompasses hedge funds and pension funds alongside large banks, insurers, and CCPs for the first time.
Securities / Derivatives
Malaysia Announces Measures to Boost Capital Market Vibrancy
By Editors | 20/06/2023
The stamp duty rate payable on stock trades is being reduced by a third to lower the cost of transactions, especially for retail investors.
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