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Securities / Derivatives
ESG / Sustainability
Integrating Natural Capital and Biodiversity in the Investment Process
By Siva Ramachandran | 12/03/2023
Siva Ramachandran and Phoebe Chan call on investment professionals to integrate natural capital into their investment process, staff training and risk analysis.
Market Infrastructure
CSRC Finalises New Cybersecurity Rules for Securities, Futures Industry
By Editors | 12/03/2023
The rules include requirements relating to stress testing, data backups, emergency response measures, and management of third-party suppliers.
Big Picture
Australian Asset Owner Mandates Omit Climate
By ESG Investor | 10/03/2023
Only a “small number” issuing specific decarbonisation or net zero requirements; IGCC urges investors to “translate aspirations into action”.
Securities / Derivatives
Credit Suisse Approved to Launch China Wealth Management Business
By Editors | 10/03/2023
Credit Suisse has received investment consultancy and proprietary trading licences, and an expansion of its brokerage licence.
Securities / Derivatives
SFC Fines City International Futures for AML Compliance Failures
By Editors | 10/03/2023
City International Futures is the 6th firm to be fined over the use of software that allows Mainland investors to trade without opening a local securities account in Hong Kong.
Enforcement
ASIC Issues Stop Orders Against Interactive Brokers’ Securities Lending Product
By Editors | 09/03/2023
ASIC says Interactive Brokers inappropriately included investors in the target market that didn’t align with the features and risks of the product.
ESG / Sustainability
Bursa Malaysia, LSEG to Launch Sustainability Reporting Platform
By Editors | 09/03/2023
At Invest Malaysia 2023, funding incentives for the Bursa Carbon Exchange were also announced, along with other initiatives to increase the vibrancy of the Malaysian capital market.
Fintech / Regtech
FIA to Form New Global Taskforce in Response to ION Outage
By Manesh Samtani | 08/03/2023
The taskforce will assess existing cyber protections, response protocols, and safeguards around third-party service providers.
Enforcement
LME Facing Three New Lawsuits Over Cancelled Nickel Trades
By Editors | 08/03/2023
In one new lawsuit, AQR Capital Management and four other hedge funds are claiming almost $100mn in damages.
ESG / Sustainability
GASLA Issues Updated Framework for ESG and Securities Lending
By Editors | 08/03/2023
The updated framework provides offers guidance to help financial institutions evaluate securities lending in the context of their ESG policies.
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