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Securities / Derivatives
BSEC Tightens Circuit Breaker Limit for Dhaka SME Board
By Editors | 15/04/2022
The SME board commenced trading last October and has seen volume spikes as a result of a waiver from a requirement for traders to register.
Enforcement
Tokyo Prosecutors Indict SMBC Nikko Securities Deputy President
By Editors | 14/04/2022
The former deputy president is suspected of colluding with other staff to illegally manipulate stock prices to keep block trade deals with clients from falling through.
Securities / Derivatives
SEBI Seeks to Loosen Restrictions on Mutual Fund Sponsors
By Editors | 13/04/2022
A new working group will recommend new eligibility criteria that could allow private equity funds and other pooled investment vehicles entities to sponsor mutual funds.
Securities / Derivatives
CSRC Accelerates Work to Update Rules for Overseas Listings
By Darien Choong | 13/04/2022
To enable US regulators to participate in domestic on-site inspections, CSRC chairman Yi Huiman said China may need to become a signatory to IOSCO’s EMMoU.
Securities / Derivatives
Indonesia Stock Exchange to Allow Structured Warrant Listings
By Editors | 13/04/2022
New regulations allow exchange members to issue structured warrants for listing and trading on the IDX. Structured warrants must have a liquidity provider.
Market Infrastructure
HKEX Set to Launch New Electronic Communication Platform
By Editors | 12/04/2022
Phase 1 of the rollout will allow exchange participants to use the new platform to download day-end trade files and closing price files, starting from 25 April.
ESG / Sustainability
SGX Set to List First ETF Based on New Low Carbon Index
By Editors | 12/04/2022
The ETF will allow investors to buy just one unit at a time, a feature aimed at attracting investment from younger and newer investors.
Enforcement
SFC Bans China Tonghai Securities Representative for 20 Months
By Editors | 12/04/2022
The representative conducted 1,089 trades in clients’ stock options accounts but was only given specific authorisation for 87 trades of the trades.
Enforcement
Shanghai Bourse Probes First STAR Market Securities Fraud Case
By Editors | 12/04/2022
An optical storage equipment supplier is being investigated for failing to disclose that it granted loans to shareholders and other entities in exchange for pledged assets.
ESG / Sustainability
Thai SEC Finalises Disclosure Guidelines for SRI Funds
By Editors | 12/04/2022
The guidelines will promote transparency, enable investors to make more informed decisions, and reduce the risk of greenwashing, the SEC says.
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