Securities / Derivatives

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    Securities / Derivatives

    HKEX Expands Global Footprint with New London Office

    By Editors | 08/09/2023

    The new London office together with a New York office opened in June give HKEX a presence in the world’s three major time zones.

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    Fintech / Regtech

    Malaysia SC Sets Rules for Offering Fractional Share Trading Services

    By Editors | 07/09/2023

    The guidelines seek to ensure stockbrokers have the necessary systems and controls to safeguard investors when offering them fractional share trading services.

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    Securities / Derivatives

    Bursa Malaysia Partners With Cradle to Boost Startup Listings

    By Editors | 07/09/2023

    Cradle will help Bursa Malaysia gain market intelligence on the local startup ecosystem, aiding it in identifying potential candidates for listing at an early stage.

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    Enforcement

    Seoul Prosecutors Seek Warrants to Arrest for Former Fund Execs

    By Editors | 07/09/2023

    Former senior executives of Discovery Asset Management are accused of violating the Capital Market Act, making unfair gains, and improperly diverting investor funds.

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    Enforcement

    ASIC Directs Retail OTC Issuers to Improve DDO Compliance

    By Sanday Chongo Kabange | 07/09/2023

    ASIC said it will punish issuers of CFDs and other high-risk products for failure to comply with their design and distribution obligations.

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    Capital / Liquidity

    HK Investors Prepare Legal Action Over Credit Suisse AT1 Bonds

    By Sanday Chongo Kabange | 07/09/2023

    Hong Kong investors will claim the wipeout of Credit Suisse AT1 bonds was at odds with a bilateral investment treaty between Hong Kong and Switzerland.

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    Securities / Derivatives

    Philippines Will Implement Short Selling Rules, Says Regulator

    By Sanday Chongo Kabange | 07/09/2023

    The SEC approved guidelines on short selling as early as 2018. It now says it is pushing to align its rules with major Asian markets.

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    Fintech / Regtech

    SEBI Developing AI Tool to Detect Fund Mis-selling

    By Editors | 07/09/2023

    The AI tool will be able to detect misselling that may go unnoticed using “rule-based supervision”, said SEBI chairperson Madhabi Puri Buch.

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    Market Infrastructure

    RBI, ESMA Close to Resolving Stand-Off Over CCPs – Report

    By Manesh Samtani | 07/09/2023

    Discussions regarding MoUs between the RBI and ESMA are reported to be progressing more smoothly and regularly.

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    Capital / Liquidity

    FSB Warns of Financial Stability Risks from ‘Hidden’ NBFI Leverage

    By Editors | 07/09/2023

    The FSB has identified pockets of high leverage in the NBFI sector and outlines policy implications to address these vulnerabilities.

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