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Enforcement
ASIC Fines Super Fund Trustee Diversa for Alleged Greenwashing
By Editors | 28/12/2022
ASIC said the statements made by Diversa Trustees were too broad, potentially misleading consumers about its investment screens.
Securities / Derivatives
Korean Brokers Put on Notice for Selling, Lending Practices
By Sanday Chongo Kabange | 28/12/2022
The concerns relate to self-issued equity and derivative-linked bonds sold by securities firms, and the offering of high interest credit loans to investors.
Securities / Derivatives
Korea Gets New Guidelines for PE Fund Asset Evaluations
By Editors | 27/12/2022
Effective from 1 January 2023, the guidelines are part of the response by the FSS and KOFIA to boost market confidence after a series of hedge fund scandals in Korea.
Securities / Derivatives
CSRC to Allow Backdoor Listings by Property Developers
By Editors | 27/12/2022
The measure is one of several outlined at a recent meeting to bolster the property sector and the capital market in the year ahead.
Market Infrastructure
EU Member States Agree on Revisions to CSDR
By Editors | 27/12/2022
The mandatory buy-in regime would be used as a “measure of last resort”, activated only in the case where the “level of settlement fails would be substantial in the EU.”
Securities / Derivatives
SHFE Launches Trading in Steel Rebar, Silver Options
By Editors | 27/12/2022
Rebar futures were listed as early as 2009, and silver futures in 2012. With the two new options products, SHFE now offers 20 futures varieties and 8 options varieties.
Securities / Derivatives
FSC Korea Unveils Measures to Improve IPO Market
By Editors | 27/12/2022
The measures will enhance the process for setting IPO price bands, prevent fictitious oversubscriptions, and improve price discovery upon listing.
ESG / Sustainability
SEC Thailand to Allow SME to Issue Sustainability Bonds
By Editors | 27/12/2022
Rule changes will allow SMEs and startups to offer sustainability bonds via crowdfunding and private placement channels.
Securities / Derivatives
Shanghai Bourse Opens New Portal to Facilitate New Listings
By Editors | 27/12/2022
The new portal provides inquiry services, listing assessment services, policy regulatory and information, and training for companies seeking an IPO.
Securities / Derivatives
Thai SEC Launches New Mutual Fund Comparison Tool
By Editors | 27/12/2022
The SEC began developing the “SEC Fund Check” application in Q2 2019. A separate application called “SEC Bond Check” is also under development.
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