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Securities / Derivatives
US SEC Unveils Plans to Address Payment for Order Flow
By Manesh Samtani | 10/06/2022
Brokers will have to send orders from retail investors to “open and transparent” auctions and meet stronger best execution obligations.
Market Infrastructure
Guangzhou Activates Plans to Become GBA Wealth Hub
By Darien Choong | 09/06/2022
Guangzhou’s financial regulator will seek to attract talent and capital to the city and promote it as a wealth and asset management centre.
Securities / Derivatives
Shanghai Bourse Streamlines Process for Credit Bond Issuance
By Editors | 09/06/2022
The SSE says the enhanced review process for credit bond issuance and listing is simpler, more clear, and more transparent.
ESG / Sustainability
China Launches Transition Bonds for Eight ‘Dirty’ Industries
By Darien Choong | 09/06/2022
Huaneng, Hualu Group and Baosteel have become the first companies to issue transition bonds, marking the official launch of the pilot programme.
Market Infrastructure
HKEX Issues Final Guidance Ahead of VaR Platform Launch
By Editors | 09/06/2022
The information package will help clearing participants make final preparations for the launch of the new new risk engine on 13 June.
Crypto / Digital Assets
US SEC Reportedly Probing Binance 2017 Token Offering
By Editors | 09/06/2022
The SEC is also investigating market making companies owned by Binance’s CEO and whether company insiders may have engaged in trading abuses.
Securities / Derivatives
CBIRC Fines Two Banks, Wealth Management Subsidiaries
By Editors | 09/06/2022
Bank of China, China Everbright Bank, and their two wealth management subsidies were fined a total of almost CNY 15 million.
Big Picture
Old Misconduct Patterns Are Repeating in New Settings: FMSB
By Editors | 08/06/2022
Forms of misconduct which have been present for hundreds of years are playing out in new digital asset classes, including crypto assets and NFTs.
ESG / Sustainability
EU Lawmakers Agree Gender Diversity Directive
By Editors | 08/06/2022
The law will require EU listed companies to have women take up at least 40% of non-executive board seats, or 33% of all director posts, by mid-2026.
Enforcement
Australian Man Pleads Guilty to Pump and Dump Scheme
By Editors | 08/06/2022
The man, Gabriel Govinda, will be the first to be convicted in Australia over a social media pump-and-dump scheme.
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