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Securities / Derivatives
Securities / Derivatives
IOSCO Proposes Guidance on Supervision of Exchanges
By Editors | 05/04/2024
The consultation report provides guidance on supervising exchanges that provide multiple services or are part of a larger group.
Crypto / Digital Assets
ECB Announces Participants for Upcoming DLT Settlement Trials
By Editors | 05/04/2024
The first wave of trials will involve ten market participants, six market DLT operators, and five central banks.
Securities / Derivatives
Korea’s First ATS Platform to Launch in Q1 2025 – Report
By Editors | 04/04/2024
Over 20 securities firms have declared their intention to participate in Nextrade’s new ATS market, which was given preliminary approval last July.
Enforcement
Japan SESC Seeks Penalty for HFT Firm Quadeye
By Editors | 04/04/2024
The SESC said Quadeye used “fraudulent means” to engage in high speed trading in TSE-listed stocks.
ESG / Sustainability
Thai SEC Tightens Requirements for Sustainability-related Digital Tokens
By Editors | 04/04/2024
Issues of sustainability-related digital tokens will have to make additional disclosures and engage external reviewers to assess whether sustainability standards are met.
ESG / Sustainability
New Zealand to Relax Rules for Green Bond Issuance
By Editors | 04/04/2024
The proposed class exemption would make it easier for listed companies to bring green, social, sustainable, and sustainability-linked bonds to market.
Securities / Derivatives
Vietnam Working to Boost Foreign Participation in Stock Market
By Editors | 04/04/2024
The SCC is looking to eliminate the pre-trade 100% margin requirement for foreign investors, expand foreign ownership limits, and mandate English disclosures.
Enforcement
Korea Probe Targets KRX, Brokers Over Suspected IPO Fraud
By Editors | 03/04/2024
The FSS conducted a search and seizure operation at NH Investment & Securities, Korea Investment & Securities and KRX last month.
Sanctions
US Lawmakers Propose Four New Anti-China Bills
By Editors | 03/04/2024
One bill would prevent index funds from investing in Chinese companies. Another would require listed companies to disclose their “China risks”.
Enforcement
Korean Banks Start Compensating Investors for HSCEI-Linked Losses
By Editors | 03/04/2024
KB Kookmin, Shinhan, Woori, Hana, NH NongHyup, StanChart, and Citibank all agreed to follow compensation guidelines issued by the FSS last month.
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