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Securities / Derivatives
Enforcement
ICAC Arrests Three in Joint Operation with SFC, AFRC
By Manesh Samtani | 20/10/2023
The case involves suspicions of corporate fraud, corruption, and a conspiracy between a ramp-and-dump syndicate and two listed companies.
Market Infrastructure
Canada to Allow T+1 Settlement Cycle for Mutual Funds
By Mark Johnston | 20/10/2023
CSA seeks feedback on amendments to allow mutual funds to voluntarily adopt T+1 settlement for subscription and redemption.
Market Infrastructure
NDRC, HKMA to Promote Mainland Bond Issuance in Hong Kong
By Manesh Samtani | 19/10/2023
The MoU was signed at the Belt and Road Forum, where 100-plus other agreements were also signed and Xi Jinping unveiled further plans to support the initiative.
Securities / Derivatives
Korea: Registration for Trading FX Market Opens for Foreign Firms
By Manesh Samtani | 19/10/2023
Bank of Korea said about 30 overseas FIs have expressed interest in participating in the domestic FX market when access opens in January.
Securities / Derivatives
SSE to Transition All Bond Bookbuilding to Centralised System
By Editors | 18/10/2023
The Shanghai exchange said bond issuers can use the centralised system voluntarily until 31 December, then it will become mandatory.
ESG / Sustainability
ASEAN Regulators Endorse Transition Finance Guidance, CIS Handbook
By Manesh Samtani | 18/10/2023
The transition finance guidance and handbook for cross-border offerings of sustainable funds were endorsed at the 39th ACMF Chairs’ Meeting.
Securities / Derivatives
More Chinese SOEs Move to Support Stock Market
By Mark Johnston | 18/10/2023
SOEs are buying back shares and withdrawing share sale plans. Goldman expects a recovery rally towards year-end.
Securities / Derivatives
DSB Launches UPI Service, a Milestone for Derivatives Markets
By Manesh Samtani | 18/10/2023
The US, EU, UK, Australia and Singapore will all start requiring UPI reporting for OTC derivatives transactions in 2024.
Securities / Derivatives
US SEC Publishes 2024 Examination Priorities Report
By Editors | 17/10/2023
Focus areas will include crypto-related securities, automated investment tools, artificial intelligence, trading algorithms, and investment adviser conduct.
Capital / Liquidity
Thai SEC Developing Stress Test for Capital Market Participants
By Mark Johnston | 17/10/2023
The SEC is collaborating with securities firms and asset managers to develop a stress test to assess risks and vulnerabilities in the industry.
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