Securities / Derivatives

Enforcement

UK FCA Queries Banks About Staff Messaging Practices

By Editors | 12/10/2022

The queries come after US regulators collected over $2bn in combined penalties from firms for failures to maintain, preserve, or produce staff communication records.

Market Infrastructure

FSB Unveils Proposed Global Regulatory Framework for Crypto

By Editors | 12/10/2022

The framework covers all crypto-asset activity, as well as associated issuers and service providers, that have the potential to pose financial stability risks.

ESG / Sustainability

MAS Calls on Investors to Engage with Listed Companies

By Manesh Samtani | 11/10/2022

Asset managers and retail investors are encouraged to more actively engage with their investee companies and participate in setting their strategic direction.

Securities / Derivatives

Bangladesh Starts Trading Government Securities on Exchanges

By Editors | 11/10/2022

Allowing government securities to trade on the stock market is expected to enhance the demand for fixed income instruments.

ESG / Sustainability

CSX Set to List Cambodia’s First Green Bond

By Editors | 11/10/2022

The issuance will still need approval from the securities regulator, but it will be the first green bond to list on the Cambodia Securities Exchange.

ESG / Sustainability

LSE’s VCM to Finance Climate Change Mitigation

By ESG Investor | 10/10/2022

The London Stock Exchange has announced the launch of the first VCM by a primary exchange with the publication of final admission and disclosure rules.

Securities / Derivatives

HKIFA Calls for Review of MPF Investment Framework

By Editors | 10/10/2022

The HKIFA is calling for relaxations to allow MPF funds to invest in a wider range of asset classes, and to provide investment flexibility to those already in retirement.

Enforcement

Korea May Start Naming Foreign Firms Engaged in Illegal Short-Selling

By Editors | 09/10/2022

Local securities firms are required to notify investors if they are fined for violating short selling-related rules, but this is not the case for foreign investors.

Enforcement

FSA Bars SMBC Nikko from Block Trades for 3 Months

By Editors | 09/10/2022

SMBC Nikko Securities was also found to have shared confidential information of several corporate clients without their consent with its parent’s banking unit.