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Enforcement
SFC Fines CES Capital for Fund Management Failures
By Editors | 28/06/2022
CES Capital International failed to perform sufficient due diligence and monitoring of the underlying investments of two funds.
Securities / Derivatives
CBIRC Approves Goldman-ICBC Launch of Wealth Management JV
By Editors | 28/06/2022
Goldman Sachs ICBC Wealth Management, set up in May last year, becomes the fourth Sino-foreign wealth management JV approved to commence operations.
Market Infrastructure
US Lawmakers Conclude Review Into Meme Stock Market Event
By Editors | 28/06/2022
A House committee says the SEC should introduce a liquidity rule for clearing brokers and FINRA should establish liquidity planning requirements.
Securities / Derivatives
HKMA, SFC to Proceed With Changes to FSP List
By Editors | 27/06/2022
One new entity, Nomura Financial Products Europe GmbH, is being added to the FSP List under the OTC derivatives regime.
Securities / Derivatives
ASIC Demands More Transparent Communications from Super Trustees
By Editors | 26/06/2022
The communication strategies of some trustees may have risked confusing or misleading members about their product’s performance, ASIC said.
Market Infrastructure
Court Rules Foreign Banks Must Face LIBOR Lawsuits in US
By Editors | 26/06/2022
The Supreme Court has allowed lawsuits accusing foreign banks of manipulating LIBOR to be heard in New York even though the banks did not operate in the US.
Securities / Derivatives
CFFEX Proposes to Launch New Derivatives Based on CSI 1000 Index
By Editors | 26/06/2022
New futures and options contracts will be based on the CSI 1000 index, which is considered a comprehensive reflection of the small A-share market.
ESG / Sustainability
Listed Equities’ Carbon Well Exceeds Paris Target
By ESG Investor | 26/06/2022
Stock exchanges’ listing rules are putting investors at risk, a new report from think tank Carbon Tracker finds.
Securities / Derivatives
SEBI Reviews Plans to Allow FPI Access to Commodity Derivatives
By Editors | 26/06/2022
SEBI asked large market participants to recommend risk management measures needed to allow FPI participation in exchange-traded commodity derivatives.
Securities / Derivatives
OJK Indonesia Restricts Stock Trading by Finance Companies
By Editors | 25/06/2022
Indonesia’s OJK also introduced new reporting requirements for securities companies conducting business as underwriters and broker-dealers.
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