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Enforcement
FSC Korea Penalises Shinhan Bank for Lime Fund Mis-selling
By Editors | 08/07/2022
Shinhan Bank is being suspended for three months from selling new private equity fund products and fined KRW 5.7 billion.
Securities / Derivatives
Alder to Leave SFC to Take Up Role as FCA Chair
By Editors | 08/07/2022
Ashley Alder became the SFC’s CEO in October 2011. His new appointment as chair of the UK FCA will start in January 2023.
Crypto / Digital Assets
IOSCO Outlines Planned Work to Address Crypto Market Risks
By Editors | 07/07/2022
The roadmap will initially focus IOSCO’s Fintech Taskforce on work to analyse and respond to market integrity and investor protection concerns.
Securities / Derivatives
Australia Reviews Impact of 2020 Ban on LIC Stamping Fees
By Editors | 07/07/2022
Two years ago, the government banned LICs and LITs from paying stamping fees to AFS licensees for help secure investors for capital raisings.
Big Picture
IMF Calls for Strengthening of Capital Markets Regulation
By Editors | 07/07/2022
Securities regulators have generally not seen increases in their resources despite their expanding regulatory perimeters and raised supervisory expectations.
Securities / Derivatives
China Outlines Plans to Develop Beijing into Technology Hub
By Editors | 07/07/2022
The measures seek to create a “multi-tier, professionalised and specialised tech financing system” in Beijing.
Securities / Derivatives
FIA Highlights Challenges of HKEX Position Limits Proposals
By Sanday Chongo Kabange | 07/07/2022
The introduction of two more tiers in the position limit regime for single stock options and futures would bring additional operational challenges for exchange participants.
Securities / Derivatives
FMA Proposes Guidance for Advising on IPOs, Listed Equity
By Editors | 07/07/2022
The guidance explains the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services.
Securities / Derivatives
China to Intensify Supervision of Hog Futures Market
By Editors | 07/07/2022
The Dalian Commodity Exchange has been directed to enhance supervision and monitoring for abnormal transactions and speculative activity.
Securities / Derivatives
SAFE Issues New Guidelines on Exchange Rate Risk Management
By Editors | 06/07/2022
The guidelines will help enterprises better understand exchange rate hedging and improve their management of currency risks, SAFE said.
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