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Securities / Derivatives
ESG / Sustainability
Korea to Launch Carbon-linked ETNs for Retail Investors
By Editors | 08/03/2024
Korea’s Ministry of Environment, KRX and local securities firms are working to launch ETNs linked to carbon allowances by August this year.
Enforcement
Thailand SEC Penalises 15 for Manipulating Stock Prices
By Mark Johnston | 08/03/2024
The individuals were collectively fined a total $1.82mn and prohibited from serving as directors or executives of any securities company for varying periods.
Enforcement
Three Charged in Singapore Over Links to Billion-dollar Nickel Fraud
By Editors | 08/03/2024
The former CEO and two directors of Envysion Wealth Management have been charged over poor risk management and failure to mitigate conflicts of interest.
Securities / Derivatives
US SEC Enhances Disclosures on Order Execution Quality
By Editors | 08/03/2024
The amendments for the first time enable customers of larger broker-dealers to gain access to direct information about aggregate execution quality.
ESG / Sustainability
UK to Start Regulating ESG Ratings Later This Year
By ESG Investor | 08/03/2024
Budget statement confirms that the UK will regulate ESG ratings, with full consultation and legislative steps due to be announced later this year.
Capital / Liquidity
Taiwan FSC to Allow Insurers to Issue Capital Bonds Overseas
By Editors | 07/03/2024
Cathay Life Insurance has already announced it will establish an SPV in Singapore to issue bonds, which would make it the first to take advantage of the revision.
Securities / Derivatives
India’s AMFI Relaxes Rule on Payments to Fund Distributors
By Ajoy K Das | 07/03/2024
AMCs can pay trail commissions to new distributors after assets have been transferred from an old distributor by an investor, after 6 month cooling-off period.
Enforcement
ASIC Issues First Ever Penalty Against Market Operator
By Sanday Chongo Kabange | 07/03/2024
ASX has paid A$1.05mn for a pre-trade transparency failure caused by “carelessness rather than recklessness or intentional misconduct”.
ESG / Sustainability
US SEC Adopts Mandatory Climate Disclosure Rules
By Manesh Samtani | 07/03/2024
The final rules allow large companies to report Scope 1 and 2 emissions only if they are material, and remove requirements to also disclose Scope 3 emissions.
Securities / Derivatives
CSRC Promises Stricter Regulation, Supervision of Capital Market
By Manesh Samtani | 07/03/2024
Chairman Wu Qing said the CSRC would “act decisively” in the stock market, improve its rules framework, and strengthen investor protection.
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