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Enforcement
HK Court Orders Investment Company to Compensate Clients
By Editors | 25/11/2022
The investment firm sold clients’ securities without authorisation, misappropriated the proceeds, and fabricated documents to conceal the transactions.
Market Infrastructure
Swap Connect Launch Facing Likely Delay – Report
By Editors | 25/11/2022
Opening China’s USD 5 trillion swap market to foreign investors will enable them to better manage interest rate risks arising from Chinese bond investments.
Securities / Derivatives
ASIC Issues Updated Guidance on ETP Naming Conventions
By Editors | 25/11/2022
ETP naming conventions are divided into two levels: primary labels which indicate product type, and secondary labels which indicate specific risks or strategies.
Securities / Derivatives
SGX Issues New Standards for Virtual/Hybrid General Meetings
By Editors | 25/11/2022
The standards cover the functional capabilities, availability levels, and recovery provisions of systems that enable issuers to hold virtual and hybrid general meetings.
Securities / Derivatives
FCA Warns Against Gamification in Stock Trading Apps
By Mark Johnston | 24/11/2022
The proportion of stock trading app users with at-risk gambling behaviours was more prevalent for apps with certain game-like elements.
Fintech / Regtech
DBS Completes First Intraday Repo Trade on JPM Blockchain Network
By Editors | 24/11/2022
DBS said it is the first Asian bank to complete an intraday repo transaction using the Onyx network, created by JP Morgan in 2020.
Securities / Derivatives
BSEC Extends Dividend Restrictions to More Companies
By Editors | 24/11/2022
The restrictions on stock dividends will cover companies listed on the SME platform, OTC Market, and Alternative Trading Board.
Market Infrastructure
ESMA to Simplify Cash Penalties Process Under CSDR
By Editors | 24/11/2022
The amendments simplify the cash penalties process by putting CSDs in charge of collection and distribution, including for CCP-cleared transactions.
Big Picture
ASIFMA Offers Recommendations for Korean Capital Markets
By Manesh Samtani | 23/11/2022
ASIFMA offers three recommendations to further strengthen Korea’s capital markets and improve access for global institutional investors.
Securities / Derivatives
SEBI to Enhance Listed Company Disclosure Requirements
By Mark Johnston | 23/11/2022
SEBI proposes new thresholds to quantify what constitutes a material event requiring disclosure, among other enhancements.
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