SECURITIES / DERIVATIVES

ESG / Sustainability

Philippine SEC Implores Listed Firms to Improve Board Diversity

By Editors | 29/04/2022

The SEC said having women represented on the board is a good corporate governance practice and more listed companies should strive to achieve greater boardroom diversity.

Crypto / Digital Assets

ASX to Align Rulebooks for Investment Products

By Editors | 29/04/2022

Having three different rulebooks for investment products opens the door to inconsistent treatment, rule arbitrage, and confusion for issuers and investors.

Securities / Derivatives

CSRC, SSE Warn Underwriters Against Overpricing IPOs: Report

By Editors | 28/04/2022

The CSRC said underwriters need to improve their IPO pricing skills. The SSE is considering using IPO performance to assess underwriting quality.

Securities / Derivatives

HKEX to Add Contract Months for HSI, HSCEI Futures

By Editors | 28/04/2022

From 13 June, the additional contract months will provide more hedging flexibility for market participants, HKEX said.

Market Infrastructure

IOSCO Offers Guidance on Regulating Market Data

By Editors | 28/04/2022

A new report provides considerations for regulators when reviewing the regulation of market data provided by trading venues or OTC markets.

Market Infrastructure

Sri Lanka Expects to Secure IMF Loan Within Two Months

By Duruthu E Chandrasekera | 28/04/2022

Sri Lanka is trying to restructure its loans from Chinese banks, offering golden visas to foreigners, and relaxing rules on securities margin financing.

Enforcement

US SEC Charges Brazil’s Vale for “Misleading” ESG Disclosures

By ESG Investor | 28/04/2022

Brazilian mining firm Vale regularly misled local governments, communities, and investors about the safety of its Brumadinho dam through its ESG disclosures.

Securities / Derivatives

FSC Korea Approves Rule Changes to Promote KONEX Market

By Editors | 28/04/2022

The changes will allow retail investors to trade the KONEX market more freely and allow listed firms to more easily maintain their listing status.

Enforcement

US Authorities File Charges Against Archegos, Key Executives

By Manesh Samtani | 28/04/2022

The DOJ, CFTC and SEC charged Archegos and four of its executives for defrauding banks and brokers and manipulating the prices of publicly traded securities.