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Enforcement
Former Archegos Employee Sues Firm Over Deferred Bonuses
By Manesh Samtani | 06/07/2022
Archegos employees were “coerced” to invest their bonus money into the firm through a deferred compensation plan, which evaporated when the company collapsed last March.
Fintech / Regtech
JPX Launches ‘J-Quants’ Data Service for Retail Investors
By Editors | 06/07/2022
The service aims to address the difficulties retail investors face in accessing and using raw financial data for investment analysis and decision-making.
Enforcement
Hong Kong Police Arrest Eight in Joint Operation With SFC
By Editors | 06/07/2022
The joint operation involved a loan granted by a listed company to a related party and payments purportedly made to suppliers that instead went to related parties.
ESG / Sustainability
HKEX Announces New Collaboration to Develop Carbon Market
By Manesh Samtani | 06/07/2022
HSBC, Standard Chartered, BNP Paribas, ANZ, ICBC, Bank of China and others will sit on a new council to help develop a Hong Kong-based international carbon market.
Enforcement
Korea FSS Expands Banking Industry Probe into FX Trading
By Editors | 06/07/2022
The probe was prompted by abnormal trading activity at Woori and Shinhan Bank. Other banks have been asked to conduct internal inspections.
Securities / Derivatives
UK to Codify Tax Exemptions for Sovereign Investors into Law
By Editors | 05/07/2022
The proposals seek to ensure the tax exemptions provided to sovereign investors are more targeted towards investment rather than trading income.
Market Infrastructure
ASX Responds on Tranche 3 Rule Changes for CHESS Replacement
By Editors | 05/07/2022
The rule amendments will be subject to regulatory approvals. ASX proposes to lodge the combined rules package with ASIC in Q4 of calendar year 2022.
Market Infrastructure
Hong Kong, China to Launch ‘Swap Connect’ in Six Months
By Sanday Chongo Kabange | 05/07/2022
Swap Connect will initially enable Hong Kong and international investors to trade in Mainland interest rate swaps, and potentially other derivatives in futures.
Capital / Liquidity
Korea Regulators Announce Measures to Ease Market Volatility
By Editors | 05/07/2022
Securities firms will be exempt from a requirement to hold collateral worth at least 140 percent of the value of each stock purchase to provide credit to customers.
Market Infrastructure
ASIC Calls on Industry to Bolster Resilience to Market Outages
By Manesh Samtani | 05/07/2022
Market participants should not delay broader planning and change programmes aimed at ensuring their resilience to market outages, ASIC says.
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