SECURITIES / DERIVATIVES

Enforcement

SEBI Probes Investment Banks Over Possible Insider Trades

By Editors | 27/03/2022

SEBI’s new AI-based surveillance systems have detected possible insider trades by related parties of investment bankers.

Securities / Derivatives

Thai SEC Proposes to Ease Merger Process for Securities Firms

By Editors | 27/03/2022

Securities and derivatives businesses that are merging can preemptively apply for a permit for new entities formed post-transaction to begin operating more quickly.

Securities / Derivatives

HKEX to Provide Investor Relations Platform to Listed Companies

By Editors | 26/03/2022

The new portal will launch in Q3, offering listed issuers a way to develop and manage their investor relations activities.

Securities / Derivatives

Taiwan FSC Warns Funds Against Intervening in Management Disputes

By Editors | 26/03/2022

Investment trust companies should not use investors’ funds to intervene in disputes over the management rights of investee companies.

Securities / Derivatives

NSE, BSE Harmonise Industry Classification Structure for Listed Firms

By Editors | 26/03/2022

The India Industry Classification will come into effect from 31 March, harmonising industry classifications of companies listed and traded on NSE and BSE.

Securities / Derivatives

India Suspends Plan to Allow Direct Overseas Listings

By Editors | 25/03/2022

Domestic companies can only list overseas after first listing in India. Rule changes that would have allowed direct overseas listings have reportedly been suspended.

AML / KYC

SFC Sets Out Expectations on Managing BEC Risk

By Manesh Samtani | 24/03/2022

Most successful business email compromise frauds occurred because LCs did not check or verify the identities of email senders or they ignored red flags.

ESG / Sustainability

HKEX, CEEX to Cooperate on GBA Carbon Market Initiatives

By Editors | 24/03/2022

HKEX and Guangzhou-based China Emissions Exchange will jointly explore the development of a voluntary carbon emission reduction programme in the GBA.

Securities / Derivatives

BSEC Calls on Banks to Increase Stock Market Investments

By Editors | 24/03/2022

The BSEC has also given banks a 31 March deadline to deposit unclaimed dividends in the Capital Market Stabilisation Fund, against directions from Bangladesh Bank.