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Securities / Derivatives
Securities / Derivatives
ASIC Issues New Guidance on Pre-Hedging Practices
By Editors | 02/02/2024
If not carried out in an appropriate manner, pre-hedging can be unfair, unconscionable and result in poor client outcomes, ASIC said.
Securities / Derivatives
China Issues Reputational Risk Management Rules for Futures Firms
By Manesh Samtani | 02/02/2024
Futures companies are required to integrate reputational risk management across all departments, branches, subsidiaries, and staff.
Securities / Derivatives
Korea to Tighten Rules to Prevent Misuse of Treasury Stock System
By Editors | 01/02/2024
Listed companies will no longer be allowed to receive allocations of treasury shares from corporate spin-offs.
Securities / Derivatives
SGX Marks New Milestone with First Active ETF Listing
By Ranamita Chakraborty | 01/02/2024
The launch of the new AI-powered active ETF, managed by Lion Global Investors and Nomura Asset Management, was announced last month.
Securities / Derivatives
Chinese State-backed Investors on ETF Buying Spree – Reports
By Editors | 01/02/2024
There have been “large and unusual flows” into ETFs tracking the CSI 300 this month, likely from state-backed investors.
Securities / Derivatives
Taiwan to Further Shorten Auction Interval for Odd Lot Trading
By Editors | 31/01/2024
The quotation interval was reduced from ten to five seconds in November 2023. The auction interval will now be reduced from one minute to five seconds.
Enforcement
Westpac Fined A$9.8m for 2016 Pre-Hedging Case
By Sanday Chongo Kabange | 31/01/2024
Westpac will pay the maximum penalty of A$1.8mn allowed in 2016 for unconscionable conduct and another A$8mn for ASIC’s costs.
Enforcement
Korea Increases Rewards for Capital Market Whistleblowers
By Sanday Chongo Kabange | 31/01/2024
Whistleblower reports can also be filed anonymously, to better protect reporters of unfair transactions and market misconduct.
Market Infrastructure
WFE Announces 2024 Priorities For Exchange and Clearing Industry
By Editors | 31/01/2024
The WFE will focus on corporate governance, reinforcing CCPs, ESG issues, and new tech like crypto and AI.
Market Infrastructure
SGX, IDX to Explore Dual Listings Under New MoU
By Sanday Chongo Kabange | 30/01/2024
SGX and IDX will explore collaboration on depositary receipts, ETF cross-listings, index development, and dual listings.
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