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Securities / Derivatives
Enforcement
ASIC: Morningstar Pays Two ESG-related Infringement Notices
By Manesh Samtani | 01/12/2023
Morningstar fund investors were exposed to weapons companies for “short periods of time” despite an ESG Policy that prohibited such exposures.
Fintech / Regtech
JPX to Distribute GenAI-based Stock Analysis to Investors
By Manesh Samtani | 01/12/2023
JPXI will use AI technology from Israeli venture Bridgewise to deliver more information on TSE-listed companies to investors “than ever before”.
Market Infrastructure
HKEX Proposes to Keep Markets Open During Typhoons
By Sanday Chongo Kabange | 01/12/2023
HKEX proposes operational model to allow markets to remain open during typhoons and rainstorms from July 2024.
Securities / Derivatives
Philippines: Trust Entities Allows to Access Primary Market for BSP Securities
By Mark Johnston | 01/12/2023
Trust entities have so far only been able to trade BSP securities in the secondary market. The change will help expand the investor base and market liquidity.
Market Infrastructure
Surge in Retail Investors Spurs Calls for Enhanced Derivatives Regulation
By Nithya Subramanian | 30/11/2023
Senior stock exchange officials emphasised the need for maintaining market order and product ecosystem diversity amid growing reliance on technology.
Securities / Derivatives
HKEX Issues Consolidated Guide for New Listing Applicants
By Sanday Chongo Kabange | 30/11/2023
The guide will better equip listing applicants and their advisers to understand HKEX’s listing requirements, says head of listing Katherine Ng.
ESG / Sustainability
Tokyo Launches Market Maker Trials for Carbon Market
By Manesh Samtani | 30/11/2023
The market makers for the trial include Sumitomo Corp, Daiwa Securities, Marubeni Corp, Mizuho Bank, and Mitsui & Co.
Enforcement
Korean Banks, Brokers, Execs Sanctioned Over Mis-sold Funds
By Editors | 30/11/2023
A number of CEOs and former CEOs were sanctioned over the mis-selling of funds tied to Lime Asset Management and Optimus Asset Management.
ESG / Sustainability
HKMA Sets Standards for Sale of Green & Sustainable Investment Products
By Sanday Chongo Kabange | 30/11/2023
Registered institutions that sell and distribute green and sustainable investment products have 12 months to comply.
Securities / Derivatives
UK Court Rules That LME Nickel Trade Cancellations Were Lawful
By Editors | 30/11/2023
The court ruling supports the LME’s argument that its actions in March 2022 were necessary to prevent a potential market collapse.
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