SECURITIES / DERIVATIVES

Securities / Derivatives

Thailand Allows Fractional Trading in Depositary Receipts

By Editors | 07/02/2022

Rule revisions approved by the SEC amend the criteria for depositary receipts linked to overseas underlyings so that they do not have to be traded in whole number units.

Market Infrastructure

Australia: Senate Committee Recommends Quick Passage of CCIV Bill

By Editors | 07/02/2022

The Senate Economics Committee acknowledged “overwhelming support” for the CCIV legislation and recommended it be passed “as soon as practicable”.

Enforcement

US DOJ Probes for Criminal Abuses by Known Short Sellers

By Editors | 07/02/2022

The DOJ is reportedly seeking records from almost 30 investment and research firms to map out their alliances and determine whether they manipulated markets or broke securities laws.

Enforcement

Taiwan Allows Deutsche Bank to Resume FX Derivatives Trading

By Editors | 07/02/2022

Last February, Deutsche Bank’s Taipei branch was banned from trading TWD forwards and suspended for two years from trading FX derivatives.

Market Infrastructure

ESMA Launches New Register for Simple Securitisations

By Editors | 07/02/2022

The new register provides originators and sponsors an enhanced notification system and assists investors in performing due diligence.

Securities / Derivatives

China Eases Process for Investors to Seek Redress for Securities Fraud

By Editors | 06/02/2022

Administrative penalties or criminal judgments will no longer be preconditions for courts to accept civil compensation cases involving securities fraud.

Securities / Derivatives

RBA Announces End to Quantitative Easing Programme

By Editors | 06/02/2022

RBA governor Philip Lowe suggests the central bank plans to maintain rather than shrink the size of its balance sheet.

Market Infrastructure

SSE, SZSE Notify Market of New Bond Trading Rules

By Editors | 05/02/2022

The rules introduce new modes of trading and greater settlement flexibility to encourage more institutional investors to participate in the exchange bond market.

ESG / Sustainability

New IIGCC Net Zero Guidance for Private Equity Investors

By ESG Investor | 04/02/2022

The guidance outlines recommended scope, metrics and targets, and implementation actions investors can use when aligning PE assets with net zero ambitions.