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Securities / Derivatives
CSRC Orders Six Brokerage Firms to Correct Violations
By Editors | 14/06/2022
The CSRC has issued warning letters to six securities companies, ordering them to correct violations involving their overseas subsidaries.
Market Infrastructure
HKMA Chief Outlines Plans to Enhance CMU Services
By Editors | 13/06/2022
The Central Moneymarkets Unit will be further commercialised and upgraded in phases over three years. A new platform will be launched in 2025.
Market Infrastructure
HKEX Launches VaR Platform for Clearing Participants
By Editors | 13/06/2022
The new platform introduces margin requirements based on individual stock volatility, instead of a flat margin rate across all securities.
Enforcement
Contracts for Difference: Playing with Fire
By Emma Parry | 13/06/2022
Increased regulatory scrutiny of CFDs highlights the need for a renewed focus on financial literacy and investor education, says Emma Parry.
Securities / Derivatives
Canadian Regulators Propose Revised Derivatives Reporting Rules
By Manesh Samtani | 13/06/2022
The CSA says the proposed rules will enable market participants to harmonise their reporting systems across multiple global regulators.
Market Infrastructure
Malaysia SC to Review Rules for Credit Rating Agencies
By Editors | 13/06/2022
The SC plans to make it a requirement for the majority of board members and the rating committee to be independent.
Securities / Derivatives
Philippine Bourse to Permanently Close Trading Floor
By Editors | 13/06/2022
The pandemic has prompted brokers to conduct their trading activities off-site and hastened the PSE’s migration to ‘floorless trading’.
ESG / Sustainability
Bursa Malaysia Issues ESG Guidance for Listed Companies
By Editors | 13/06/2022
The guidance is issued as part of an initiative to help listed companies adopt best practices in areas such as governance and sustainability.
Enforcement
Korean Police Arrest CEO of Discovery Asset Management
By Editors | 13/06/2022
CEO Jang Ha-won faces charges of fraud and violation of the Capitals Market Act for selling funds which caused $194mn in losses to investors.
Enforcement
Singapore Court Jails Listed Company CFO for Insider Trading
By Editors | 13/06/2022
The former CFO of Broadway Industrial Group communicated information to two friends about the sale of two of the company’s businesses 2016.
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