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Enforcement
Cum-Ex Scandal Widens like a Regulatory Inquisition
By Peter Guy | 10/05/2022
A common tax arbitrage trading strategy is now being prosecuted as outright tax avoidance, catching global banks and traders in a broad net.
ESG / Sustainability
Thai Stock Exchange Publishes Sustainability Reporting Guide
By Editors | 10/05/2022
The guide contains ESG metrics for eight industry groups and should be used to inform listed company practices for disclosing sustainability-related information.
Market Infrastructure
LSEG to Launch New NDF Matching Venue in Singapore
By Editors | 09/05/2022
The fully cleared NDF matching venue will be open for integration testing later this year, with a full production launch in mid-2023.
Securities / Derivatives
SEHK to Unify Main Board, GEM Websites From 28 May
By Editors | 08/05/2022
The websites will be unified to optimise HKEX’s technical infrastructure and provide investors more streamlined access to market information.
Market Infrastructure
US-China Talks on Audit Cooperation in ‘Late Stage’ – Reports
By Darien Choong | 08/05/2022
The talks are described as “late stage” due to concessions made by the CSRC. The SEC has added over 80 more companies to a list of Chinese firms that could be delisted in New York.
Market Infrastructure
SEBI Directs Stock Exchanges to Audit Systems and Networks
By Editors | 08/05/2022
Stock exchanges must certify that their trading architecture and co-location facilities conform with regulatory requirements and treat all market participants fairly and equitably.
Securities / Derivatives
China Announces Planned Measures to Boost Capital Market
By Darien Choong | 08/05/2022
The CSRC and stock exchanges will support fundraising by SMEs and real estate firms, and encourage listed companies, their shareholders, and institutional investors to buy more stock.
Enforcement
Two Convicted in Singapore’s Largest-ever Market Manipulation Case
By Editors | 06/05/2022
Two individuals were convicted on 349 charges for controlling and using 187 trading accounts to manipulate three penny stocks before they collapsed in October 2013.
Big Picture
DTCC Calls for Greater Scrutiny of Interconnectedness Risks
By Editors | 05/05/2022
Interconnectedness, while providing benefits, poses certain risks that need to be recognised and analysed to guard against system-wide vulnerabilities, DTCC says.
Securities / Derivatives
BSEC to Encourage Brokerage Firms to Launch IPOs
By Editors | 05/05/2022
Brokerage firms that are allowed to issue IPOs will be able to increase investment flows to the market and enhance their monitoring, BSEC said.
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