Securities / Derivatives

Enforcement

Shanghai Bourse Probes First STAR Market Securities Fraud Case

By Editors | 12/04/2022

An optical storage equipment supplier is being investigated for failing to disclose that it granted loans to shareholders and other entities in exchange for pledged assets.

ESG / Sustainability

Thai SEC Finalises Disclosure Guidelines for SRI Funds

By Editors | 12/04/2022

The guidelines will promote transparency, enable investors to make more informed decisions, and reduce the risk of greenwashing, the SEC says.

Big Picture

IIGCC Offers Ratios to Track Portfolios’ Climate Impact

By ESG Investor | 12/04/2022

A new report by the Institutional Investors Group on Climate Change provides guidance to asset owners on closing the net zero investment gap.

Market Infrastructure

SEBI Forms New Committee to Enhance Governance of MIIs

By Editors | 12/04/2022

The committee will suggest measures to improve governance at market infrastructure institutions, including NSE, which experienced lapses during the tenure of its former CEO.

Securities / Derivatives

ASIC Extends Product Intervention Order Targeting CFDs

By Editors | 12/04/2022

Since the product intervention order took effect in March 2021, ASIC has observed few losses, margin close-outs, and negative balance occurrences affecting retail client.

Securities / Derivatives

FSA Issues Guidance for Asset Managers Moving to Japan

By Editors | 12/04/2022

Regulatory requirements have also been amended to allow foreign securities companies entering the Japanese market to submit their registration applications in English.

Securities / Derivatives

CSRC Takes Steps to Boost Confidence in Capital Market

By Manesh Samtani | 11/04/2022

The CSRC pledged to support companies’ capital raising efforts, encourage asset managers to buy up equities, and encourage listed companies to buy back shares and raise dividends.

Market Infrastructure

Work Advances to Bring RMB-denominated Stocks to Hong Kong

By Manesh Samtani | 11/04/2022

Hong Kong official Christopher Hui said a feasibility study has been completed and the next step is to engage with mainland regulators and relevant organisations.

Securities / Derivatives

SEBI Standardises Industry Classification Framework for CRAs

By Editors | 11/04/2022

The standardised framework will help enable uniformity in the classifications being used across sectors and in the securities market, SEBI said.