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Securities / Derivatives
Securities / Derivatives
Sri Lanka SEC Calls on Stockbroking Firms to Improve Governance
By Duruthu E Chandrasekera | 20/09/2023
SEC chairman asked brokerage firms to improve their understanding of compliance requirements and invest more in technology and infrastructure.
ESG / Sustainability
Bursa Malaysia, IDX, SET to Co-create Interconnected ESG Ecosystem
By Editors | 19/09/2023
The ASEAN exchanges will combine their expertise and resources to spur the adoption of good ESG practices and drive responsible growth of companies.
Enforcement
US SEC Charges NY Investment Firm for Advising Russian Oligarch
By Sanday Chongo Kabange | 19/09/2023
The SEC charged Concord Management and its owner for failing to register as investment advisers while advising a sanctioned Russian oligarch.
Enforcement
SFC Imposes Seven Month Ban on Former Taiping Securities RO
By Editors | 19/09/2023
The former responsible officer logged into clients’ internet trading accounts to place orders for them, and failed to maintain proper records of the order instructions.
ESG / Sustainability
Indonesia to Launch Carbon Exchange Next Week
By Editors | 19/09/2023
IDX will be the operator of the new carbon exchange. OJK said the launch will mark a “new chapter” in Indonesia’s efforts to reduce GHG emissions.
Big Picture
WFE Calls on Policymakers to Better Promote Equity Markets
By Manesh Samtani | 19/09/2023
From a policy perspective, it is important not to approach market-based finance in the same way as banking, the WFE says.
Enforcement
SFC Penalises Chee Tak Securities and MIC for Regulatory Breaches
By Editors | 19/09/2023
Chee Tak Securities had no written manuals, policies and procedures on recording order instructions, ongoing monitoring, trade surveillance or employee dealing.
Enforcement
Affin Hwang Dealer Punished for Misusing Client Funds
By Editors | 18/09/2023
The Affin Hwang Investment Bank dealer’s representative executed personal and unauthorised trades in clients’ accounts.
Securities / Derivatives
Beijing Authorities Announce Measures to Support Tech Unicorns
By Editors | 17/09/2023
The measures emphasise a focus on facilitating public listings by tech unicorns in both domestic and overseas stock markets.
Capital / Liquidity
BIS Paper Suggests Redesign of AT1 Instruments May Be Warranted
By Editors | 17/09/2023
The paper says some market participants “may not fully appreciate” that writedown conditions may differ across AT1 instruments.
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