Securities / Derivatives

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    ESG / Sustainability

    Philippine SEC Adopts ASEAN SRF Standards

    By Sanday Chongo Kabange | 14/05/2023

    Rules are established to enable local and ASEAN-member investment companies and CIS operators to offer sustainable and responsible funds locally and across the region.

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    Securities / Derivatives

    Korea Offers Tax Benefits to Investors in High Yield Bond Funds

    By Editors | 14/05/2023

    The incentive is expected to help boost the demand for mid- and low-credit grade corporate bonds in the market.

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    ESG / Sustainability

    Stewardship Dialogue Must be Ongoing – FCA

    By ESG Investor | 13/05/2023

    UK regulator seeks evidence of barriers to collaborative engagement, expects consultation responses to feed into review of ‘macro’ stewardship.

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    Securities / Derivatives

    SSE, SZSE Issue Updated Guidelines for Infrastructure REITs

    By Mark Johnston | 13/05/2023

    The revised guidelines aim to optimise the review process, enhance information disclosures, and promote the infrastructure REITs market.

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    Securities / Derivatives

    FSS Governor Promotes Korea Finance in Southeast Asia Tour

    By Mark Johnston | 13/05/2023

    FSS chief Lee Bok-hyun met with central bank governors and global investors to showcase the potential of Korea’s financial market.

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    Enforcement

    SEBI Penalises Four Former Officials of Karvy Stock Broking

    By Mark Johnston | 12/05/2023

    SEBI fined the four individuals a combined INR 19 million over Karvy Stock Broking’s misappropriation of client assets in 2019.

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    Market Infrastructure

    PCAOB Publishes Findings from Audit Inspections of Chinese Firms

    By Editors | 12/05/2023

    The PCAOB said it found an “unacceptable rate” of deficiencies in the KPMG and PwC audits of US listed Chinese companies it reviewed last year.

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    Securities / Derivatives

    SEBI Allows FPIs Direct Access to Commodity Derivatives Market

    By Editors | 12/05/2023

    Direct access will enable FPIs to have direct control over orders and implement better hedging and arbitrage strategies, SEBI said.

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    Market Infrastructure

    HKEX May Allow Market to Remain Open During Typhoons

    By Editors | 12/05/2023

    A working group from HKEX and the HKMA is reportedly drafting a plan to allow trading to continue as normal during typhoons and rainstorms.

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    Enforcement

    HSBC, Scotia Fined for Use of Unapproved Messaging Tools

    By Editors | 12/05/2023

    Employees, including those at senior levels and in compliance roles, used unapproved messaging tools to engage in business-related communications.

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