SECURITIES / DERIVATIVES

    Enforcement

    Australia: ABN AMRO Penalised Over Block Trading Rule Breach

    By Editors | 08/09/2022

    ABN AMRO Clearing Sydney registered ASX SPI 200 Futures block trades that included split allocations below the Minimum Value Threshold.

    Securities / Derivatives

    Tokyo Bourse to Allow First Active ETF Listings by Mid-2023

    By Editors | 08/09/2022

    The TSE is reportedly looking to modify a rule which currently only permits index-linked (passive) ETFs to be listed on the exchange.

    Fintech / Regtech

    Korea to Launch KRX-Operated Digital Securities Market

    By Editors | 07/09/2022

    Security token guidelines will be published in Q4 2022, and rule changes will be made next year to establish a system for issuance and distribution.

    Securities / Derivatives

    China Raises Bar for Sponsors to Ensure Fair IPO Pricing

    By Editors | 07/09/2022

    Investment bankers engaged in IPO deals are prohibited from discussing earnings estimates and valuations with analysts, to ensure their independence.

    Securities / Derivatives

    CSRC Green Lights Launch of New ETF Options in China

    By Editors | 07/09/2022

    ChiNext Board ETF options will list in Shenzhen, while CSI 500 ETF options will list in both Shanghai and Shenzhen.

    Securities / Derivatives

    Big Four Auditor Facing HK Lawsuit Over Chinese Audit

    By Editors | 07/09/2022

    The liquidator of a now-collapsed Chinese biotech firm said the auditor could have easily exposed fraud by asking obvious questions.

    ESG / Sustainability

    China Executes First Triparty Repo Trades Using ESG Bonds

    By Editors | 07/09/2022

    CFETS, Clearstream and Chinese financial institutions cooperated to execute the first triparty repo trades involving ESG-eligible bonds.

    Securities / Derivatives

    Beijing Stock Exchange Turns One Year Old

    By Editors | 06/09/2022

    The BSE issued draft rules for margin trading and securities lending, launched its first treasury bond, and set out plans to introduce its first benchmark index.

    Securities / Derivatives

    FSC Korea Unveils New Rules to Address Unfair Split-Off IPOs

    By Editors | 06/09/2022

    Korean investors often lose out when companies decide to split off rapidly growing portions of their businesses into new IPOs.

    Enforcement

    Singapore Jails Five Former Remisiers for False Trading

    By Editors | 06/09/2022

    The five were former remisiers for Phillip Securities, OCBC Securities, DBS Vickers Securities, and Maybank Kim Eng Securities.

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