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Securities / Derivatives
Enforcement
ASIC Issues First Stop Order on Superannuation Product
By Sanday Chongo Kabange | 04/06/2023
The interim stop orders were made against Spaceship Super and three managed funds promoted by Spaceship Capital due to deficient TMDs.
ESG / Sustainability
Hong Kong Raises Record $6b in Latest Green Bond Offering
By Editors | 04/06/2023
The green bonds were five times oversubscribed and will be listed on both the Hong Kong and London stock exchanges on 7 June.
Fintech / Regtech
ASIC to Leverage Regtech to Improve Listed Company Disclosures
By Sanday Chongo Kabange | 02/06/2023
ASIC and regtech firm Eastern Analytica will jointly develop a solution to help address poor market disclosures by listed firms.
Enforcement
FINRA Fines Vanguard for Misleading Account Statements
By Mark Johnston | 02/06/2023
Vanguard had errors in about 8.5 million customer statements and failed to address customer reports of the errors in a timely manner.
Crypto / Digital Assets
Eurex Receives Approval to Offer Bitcoin Futures to US Investors
By Ranamita Chakraborty | 02/06/2023
US investors can now benefit from access to a wider range of participants and liquidity pools during Asian, European and US hours, Eurex says.
Fintech / Regtech
Thai Bourse Launches New Trading System Using Nasdaq Tech
By Editors | 01/06/2023
The new trading system was launched by SET and TFEX along with new data distribution and market surveillance systems, using Nasdaq technology.
Crypto / Digital Assets
CFTC Issues Advisory on Risks of Clearing Crypto Derivatives
By Editors | 31/05/2023
Commissioner Kristin Johnson said the advisory means a formal rulemaking process on crypto clearing is warranted.
Crypto / Digital Assets
Former Coinbase Manager Settles SEC Insider Trading Case
By Manesh Samtani | 31/05/2023
In light of the prison sentences Ishan Wahi and his brother have to serve, the SEC will not seek civil penalties apart from the disgorgement already ordered.
Market Infrastructure
LME Consults on Reforms to Boost Confidence in Metals Market
By Editors | 31/05/2023
The proposed reforms include expanded reporting on stored metal, permanent measures to address low stock levels, and revised closing price methodologies.
Securities / Derivatives
SEBI Proposes Tighter Rules for Granting QIB Status to AIFs
By Mark Johnston | 31/05/2023
SEBI said many AIFs have only one or two investors but have been obtaining benefits as ‘Qualified Institutional Buyers’.
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