ADVERTISEMENT
Securities / Derivatives
Enforcement
CFTC Fines Goldman Sachs for Missing Audio Recordings
By Editors | 30/08/2023
Goldman’s vendor service for recording mobile calls failed during the pandemic. Commissioner Caroline Pham said the penalty is unfair.
Market Infrastructure
HK Establishes Task Force on Enhancing Stock Market Liquidity
By Sanday Chongo Kabange | 30/08/2023
The task force will review factors affecting stock market liquidity including the stamp duty and make policy recommendations.
Crypto / Digital Assets
UK Proposes Blanket Ban on Cold Calls for Financial Services
By Editors | 30/08/2023
The ban on cold calling, as proposed, would cover banking, payments, insurance, mortgages, various tangible investments, and cryptoassets.
Securities / Derivatives
Malaysia SC Further Liberalises Fund Management Industry
By Editors | 29/08/2023
The measures are designed to give high net worth entities and institutional investors access to a wider range of investment options.
Enforcement
ASIC’s New 4-Year Plan Highlights Heavy Enforcement Focus
By Editors | 29/08/2023
ASIC will target scams, digitally-enabled misconduct, predatory lending, and greenwashing, while also “closely monitoring” the use of AI.
Market Infrastructure
KSD-Euroclear Trading Link to Open in H1 2024
By Editors | 29/08/2023
The link will enable international investors to access Korean government bonds via an omnibus account opened by Euroclear at the KSD.
Securities / Derivatives
SEBI to Require Intermediaries to Sever Ties with Unregistered ‘Finfluencers’
By Editors | 28/08/2023
SEBI-registered intermediaries and regulated entities would also be required to stop disbursing referral fees to unregistered entities such as “finfluencers”.
Market Infrastructure
China Moves Ahead With Capital Market Support Measures
By Manesh Samtani | 28/08/2023
The measures include a lower minimum margin ratio, a stamp duty cut, and curbs on stock sales and new IPOs.
Securities / Derivatives
SEBI Tightens Disclosure Norms for FPIs with Concentrated Investments
By Editors | 28/08/2023
FPIs will have to disclose all their owners if they hold over 50% of their India AUM in a single corporate group.
Securities / Derivatives
DSE Seeks Rule Relaxations to Boost Alternative Trading Board
By Editors | 28/08/2023
The ATB was launched this January but has failed to attract investors and still has only two securities listed.
JOIN OUR NEWSLETTER
A daily selection of top stories from the Regulation Asia editorial team