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Securities / Derivatives
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.
Securities / Derivatives
Almost 100 Superannuation Products Fail APRA Performance Test
By Editors | 31/08/2023
AMG MySuper failed the test for the third consecutive year; 96 trustee-directed products also failed the test.
Enforcement
Korea Reopens Investigations into Handling of Lime Funds
By Editors | 31/08/2023
Search and seizure operations were carried out at two securities firms on Thursday. Additional inspections at a third firm.
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