Securities / Derivatives

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    Securities / Derivatives

    SGX RegCo Resumes Watch Listing Process After Three Years

    By Editors | 06/06/2023

    SGX RegCo suspended the half-yearly watch-list reviews in June 2020. With the resumption, nine companies have been added to the list.

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    Fintech / Regtech

    SFC Chief Calls for Strong AI Governance at Licensed Firms

    By Ranamita Chakraborty | 06/06/2023

    The SFC will hold licensed firms responsible for conduct breaches involving AI, Julia Leung said at an HKIFA conference.

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    Enforcement

    ASX Releases Reports on CHESS System to ASIC, RBA

    By Sanday Chongo Kabange | 06/06/2023

    ASX to keep CHESS operational until at least 2032. ASIC said it is prepared to take regulatory action to ensure ASX complies with its regulatory obligations.

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    Securities / Derivatives

    Changes to Position Limit Regime to Take Effect in December: SFC

    By Manesh Samtani | 06/06/2023

    Asset managers will have primary responsibility for position limit compliance and reporting obligations at the individual fund or sub-fund level.

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    ESG / Sustainability

    Bursa Malaysia Names and Shames Listed Companies With All-Male Boards

    By Ranamita Chakraborty | 06/06/2023

    Bursa Malaysia warns that it will take regulatory action against companies that fail to comply with the diversity requirement.

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    ESG / Sustainability

    Japan’s FSA to Issue First Guidelines on Impact Investing

    By Mark Johnston | 06/06/2023

    The guidelines will define novelty, effect, profitability, and disclosure as key requirements for impact investing.

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    Market Infrastructure

    Philippine SEC Approves Plans to Introduce Short Selling – Report

    By Sanday Chongo Kabange | 06/06/2023

    The SEC and PSE are reported to now be working out how to implement short selling this year, to boost domestic market liquidity.

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    ESG / Sustainability

    SET Amends Listing Rules to Expand Access to Capital Market

    By Sanday Chongo Kabange | 06/06/2023

    The rule change relaxes earlier limitations that only allowed BCG (Bio-Circular-Green) companies promoted by the government to tap into the capital market.

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    Market Infrastructure

    Cboe Launches “First-of-its-kind” Global Listing Network

    By Editors | 05/06/2023

    Stocks that are “intralisted” on Cboe’s US and Canada exchanges will be available for trading in the Netherlands and the UK, with Australia to follow.

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    Enforcement

    FCA Fines ED&F Man Capital Markets for Cum-Ex Trading Breaches

    By Editors | 05/06/2023

    The GBP 17.2 million fine is the largest imposed thus far in connection with the cum-ex tax fraud scheme.

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