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Securities / Derivatives
Enforcement
Korea: FSS Probe Confirms Mis-selling of HSCEI-Linked ELS
By Manesh Samtani | 06/02/2024
High-risk equity-linked securities were sold to customers who prioritised principal protection, were close to retirement, and those planning for future cancer treatments.
Securities / Derivatives
SEBI Proposes to Allow AIFs to Pledge Equity Shares
By Ajoy K Das | 06/02/2024
Consultation proposes to allow Category I and II AIFs to create encumbrances on equity holdings in infrastructure sector companies.
Securities / Derivatives
SEBI Considers Scrapping Security Deposit Required of Issuers
By Ajoy K Das | 05/02/2024
An expert committee has recommended abolishing the requirement for equity issuers to keep a security deposit with the stock exchange.
Securities / Derivatives
US Fed Tightens Policy on Personal Investments by Staff
By Editors | 02/02/2024
Under the new policy, staff can be directed to submit brokerage and transaction statements to verify financial disclosure accuracy.
Market Infrastructure
Pakistan Introduces Electronic Platform for Interbank FX Trades
By Editors | 02/02/2024
The platform provides real time price visibility and features a new electronic matching system for interbank FX trades.
Market Infrastructure
EU Agrees on New Listing Act, Multiple-Vote Share Structures
By Editors | 02/02/2024
The Listing Act will make it cheaper and easier for companies to list. Multiple-vote share structures will ensure founders retain sufficient control after listing.
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.
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