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Securities / Derivatives
Securities / Derivatives
SSE, SZSE Introduce Ratings System for IPO Sponsors
By Editors | 22/07/2023
China’s primary exchanges adopt performance ratings for sponsors to combat fraud, enhancing capital market integrity and investor confidence.
Capital / Liquidity
FSS Korea Cautions Securities Firms Against Real Estate-related Risks
By Mark Johnston | 21/07/2023
The financial watchdog met with local securities firms to assess and manage real estate-related risks amid concerns of rising overdue loans.
Enforcement
NZ Court Imposes Highest Ever Penalties for Market Manipulation
By Sanday Chongo Kabange | 21/07/2023
Two former senior executives of Oceania Natural Ltd were ordered to pay a combined N$2.09mn for market manipulation.
Enforcement
FSS Korea Steps Up Efforts to Eradicate Unfair Trading Practices
By Mark Johnston | 21/07/2023
The FSS governor pledges to crack down on any illegal activities in the capital market. A notice outlines misconduct at some investment firms.
ESG / Sustainability
SEBI Introduces ESG Sub-category for Equity Schemes
By Ranamita Chakraborty | 21/07/2023
The securities regulator’s decision was driven by industry requests and the increasing demand for green financing in India.
Securities / Derivatives
SEBI, NSE, BSE Revamp Framework for ESM Stocks
By Mark Johnston | 21/07/2023
The existing ESM framework had restricted the trading of ESM stocks to once a week. Under the new framework, trading can take place on all trading days.
Market Infrastructure
FSC Korea Grants First Preliminary Approval to ATS Platform
By Sanday Chongo Kabange | 21/07/2023
Nextrade, owned by 34 companies, will have 18 months to establish its systems and apply for final authorisation to operate its ATS platform.
Securities / Derivatives
SEBI Mandates Automated Trading Controls for Insiders
By Ranamita Chakraborty | 21/07/2023
India’s securities regulator is ensuring that insiders, also known as designated persons, from listed companies cannot trade during sensitive periods.
Market Infrastructure
Vietnam Launches New Bond Trading Platform at HNX
By Editors | 20/07/2023
The system will also support businesses in mobilising mid and long-term capital, helping them reduce their dependence on bank credit.
Enforcement
India: Appeals Tribunal Sets Aside SEBI Penalty Order Against NSE
By Editors | 20/07/2023
The Securities Appellate Tribunal said NSE had not indulged in any unethical act or unjustly enriched itself.
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