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Securities / Derivatives
Enforcement
SFC Suspends Former Licensed Rep Over Misuse of Client Account
By Editors | 28/12/2023
The former AE carried out personal trades in a client’s securities account and allowed a third party to operate the account without the client’s written authorisation.
Enforcement
China Launches Probe into CDB for Suspected Price Manipulation
By Editors | 27/12/2023
NAFMII said it has information indicating China Development Bank improperly influenced market prices in its bond issuance and money market businesses.
Enforcement
Korea Fines BNP Paribas, HSBC $20.4m for Illegal Short Selling
By Editors | 26/12/2023
The FSC said the naked short-selling transactions lasted for months and were thus were “viewed as not inadvertent but intentional.”
Securities / Derivatives
Japan Prepares to Launch ‘Asset Management Forum’
By Editors | 26/12/2023
A committee has been established to plan the launch of a new platform to promote Japan’s asset management industry internationally.
Securities / Derivatives
SEBI Consults on Introducing Same Day Settlement of Equity Trades
By Ajoy K Das | 26/12/2023
The consultation paper proposes that T+0 settlement would be optional alongside the existing T+1 settlement system.
Crypto / Digital Assets
Hong Kong SFC to Permit Listing of Spot Crypto ETFs
By Manesh Samtani | 23/12/2023
HKEX welcomed the SFC’s move, saying it will enhance Hong Kong’s role as a leading digital asset hub across the region.
Securities / Derivatives
SFC Updates Guidance to Streamline Approval Processes for Funds
By Editors | 23/12/2023
The streamlined measures will enhance the operational efficiency and approval processes of SFC-authorised funds.
Enforcement
Korea Considers Naked Short-selling Penalties for Global Banks
By Editors | 22/12/2023
Last month, Korean regulators said they found that the Hong Kong units of HSBC and BNP Paribas committed naked short selling.
Market Infrastructure
UK FCA Issues Listing Reform Proposals for Consultation
By Manesh Samtani | 22/12/2023
The FCA is also consulting on rules for a bond market consolidated tape and proposals to increase the availability of bond and derivatives information.
Market Infrastructure
SEBI Directs Clearinghouses to Back-up Risk Management Systems
By Ajoy K Das | 22/12/2023
Clearing corporations should be able to a SaaS-based RMS within 30 minutes in the event of a disruption with their existing RMS.
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