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Securities / Derivatives
Securities / Derivatives
US SEC Publishes 2024 Examination Priorities Report
By Editors | 17/10/2023
Focus areas will include crypto-related securities, automated investment tools, artificial intelligence, trading algorithms, and investment adviser conduct.
Capital / Liquidity
Thai SEC Developing Stress Test for Capital Market Participants
By Mark Johnston | 17/10/2023
The SEC is collaborating with securities firms and asset managers to develop a stress test to assess risks and vulnerabilities in the industry.
Securities / Derivatives
China: First Insurance AMCs Allowed to Pilot Listed ABS Products
By Editors | 17/10/2023
Five insurance AMCs will be allowed to pilot the issuance of ABS and REIT products and list them on the SSE and SZSE.
ESG / Sustainability
KRX Revises Guidelines for Corporate Governance Reporting
By Mark Johnston | 17/10/2023
The revisions will improve disclosures in areas like dividends, shareholder communications, capital raisings, board diversity, and remuneration.
Securities / Derivatives
Singapore, Shanghai to Collaborate on Asset Management
By Editors | 16/10/2023
IMAS and the Asset Management Association of Shanghai will collaborate to advance the development of their asset management industries.
Securities / Derivatives
China Tightens Short Selling Rules to Bolster Stock Market
By Manesh Samtani | 16/10/2023
The margin ratio for securities lending has been raised, and restrictions are being imposed on listed company executives and strategic shareholders.
ESG / Sustainability
Malaysia Unveils Budget 2024, Capital Market Support Measures
By Editors | 16/10/2023
The budget includes additional funding for MyCIF initiatives, tax incentives for the ECF market, and targeted tax exemptions to support capital market fundraising.
Securities / Derivatives
US SEC Boost Transparency of Short Selling, Securities Lending
By Editors | 16/10/2023
Institutional investment managers will be required to report short positions to the SEC; Companies will have to report securities lending activity to FINRA.
Enforcement
HK Investment Banks Face Naked Short Selling Fines in Korea
By Manesh Samtani | 16/10/2023
The FSS said it uncovered illegal short selling by two global investment banks. The banks were identified by local media as BNP Paribas and HSBC.
Securities / Derivatives
CapitaLand China Trust Issues First China FTZ Offshore Bond
By Editors | 16/10/2023
CapitaLand China Trust subsidiary CLCT MTN has become the first Singapore-based issuer to launch offshore CNY bonds in the Shanghai FTZ.
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