Securities / Derivatives

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    Enforcement

    SFC Bans Former Senior Manager of Citigroup Asia Unit for Misconduct

    By Editors | 07/03/2023

    Philip Shaw’s misconduct was “intentional, dishonest and contrary to a licensed person’s overarching duty to act in clients’ best interests,” the SFC said.

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    Securities / Derivatives

    Chinese Stock Exchanges Probe Large Covid-related Writedowns – Report

    By Editors | 06/03/2023

    The Shanghai and Shenzhen stock exchanges have queried companies over why they wrote down the value of assets last year.

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    Enforcement

    LME Faces First Ever Enforcement Probe Over Nickel Market Suspension

    By Editors | 06/03/2023

    This is the first time UK regulators have opened an enforcement investigation against an exchange, which observers say could point to serious misconduct or compliance failures.

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    Securities / Derivatives

    Foreign Firms Announce New Mutual Fund Launches in China

    By Manesh Samtani | 06/03/2023

    Neuberger Berman and Fidelity International are launching new funds. AllianceBernstein won approval. UBS is planning to apply. VanEck is withdrawing.

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    Market Infrastructure

    Stock Connect Expansion to Launch on 13 March 2023

    By Manesh Samtani | 06/03/2023

    Mainland investors will have access to about 80 more HK-listed stocks; International investors will have access to more than 1,000 more Mainland-listed stocks.

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    Enforcement

    SEBI Bars Former Chief Dealer of Axis Mutual Fund and Others

    By Editors | 05/03/2023

    The former chief trader of Axis Mutual Fund is alleged to have conceived of a “fraudulent scheme” with other “unscrupulous entities” to front-run trades.

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    Enforcement

    SFC Bans Ex-Convoy Licensee Over Stock Manipulation Scheme

    By Editors | 05/03/2023

    A Convoy Asset Management consultant was banned for life for his role in a stock manipulation scheme and for lying to the SFC.

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    Securities / Derivatives

    Indonesia Set to Lift Pandemic Restrictions on Stock Market

    By Editors | 04/03/2023

    From April, OJK will allow short-selling to resume for some stocks, bring back pre-pandemic auto-rejection rules, and adjust trading hours.

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    Securities / Derivatives

    India Supreme Court Orders Probe into Adani Group

    By Editors | 03/03/2023

    A committee has been formed to examine the Hindenburg allegations against Adani Group and suggest measures to protect investors. A probe by SEBI was also ordered.

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    AML / KYC

    SFC Calls on Investors to Provide Consent for HKIDR Regime

    By Editors | 03/03/2023

    After the launch of HKIDR on 20 March, investors who haven’t provided consent will not be able to buy securities on the stock exchange.

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