Securities / Derivatives

New Zealand FMA to Cooperate with FMSB on Market Standards

By Editors | 01/12/2023

Good industry standards can complement principle-based laws and drive robust operational practices among market intermediaries, the FMA said.

Securities / Derivatives

Bursa Malaysia Proposes Amendments to Listing Requirements

By Editors | 01/12/2023

The amendments will enhance transparency on fund-raising exercises and require disclosure of CEO remuneration on a named basis.

Enforcement

ASIC: Morningstar Pays Two ESG-related Infringement Notices

By Manesh Samtani | 01/12/2023

Morningstar fund investors were exposed to weapons companies for “short periods of time” despite an ESG Policy that prohibited such exposures.

Fintech / Regtech

JPX to Distribute GenAI-based Stock Analysis to Investors

By Manesh Samtani | 01/12/2023

JPXI will use AI technology from Israeli venture Bridgewise to deliver more information on TSE-listed companies to investors “than ever before”.

Market Infrastructure

HKEX Proposes to Keep Markets Open During Typhoons

By Sanday Chongo Kabange | 01/12/2023

HKEX proposes operational model to allow markets to remain open during typhoons and rainstorms from July 2024.

Securities / Derivatives

Philippines: Trust Entities Allows to Access Primary Market for BSP Securities

By Mark Johnston | 01/12/2023

Trust entities have so far only been able to trade BSP securities in the secondary market. The change will help expand the investor base and market liquidity.

Market Infrastructure

Surge in Retail Investors Spurs Calls for Enhanced Derivatives Regulation

By Nithya Subramanian | 30/11/2023

Senior stock exchange officials emphasised the need for maintaining market order and product ecosystem diversity amid growing reliance on technology.

Securities / Derivatives

HKEX Issues Consolidated Guide for New Listing Applicants

By Sanday Chongo Kabange | 30/11/2023

The guide will better equip listing applicants and their advisers to understand HKEX’s listing requirements, says head of listing Katherine Ng.

ESG / Sustainability

Tokyo Launches Market Maker Trials for Carbon Market

By Manesh Samtani | 30/11/2023

The market makers for the trial include Sumitomo Corp, Daiwa Securities, Marubeni Corp, Mizuho Bank, and Mitsui & Co.

Enforcement

Korean Banks, Brokers, Execs Sanctioned Over Mis-sold Funds

By Editors | 30/11/2023

A number of CEOs and former CEOs were sanctioned over the mis-selling of funds tied to Lime Asset Management and Optimus Asset Management.

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