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Enforcement
Tokyo Prosecutors Indict SMBC Nikko Securities, Five Others
By Editors | 24/03/2022
Prosecutors have filed charges against SMBC Nikko Securities and five others. The head of the firm’s equity division was also arrested.
ESG / Sustainability
Bursa Malaysia to Enhance Sustainability Reporting Framework
By Manesh Samtani | 24/03/2022
Listed issuers will be required to disclose prescribed “common sustainability matters” and indicators and provide TCFD-aligned climate change related disclosures.
Enforcement
ASIC Probes Fund Managers for Misleading Marketing
By Sanday Chongo Kabange | 24/03/2022
ASIC is assessing whether fund managers made false or misleading statements or engaged in misleading or deceptive conduct when marketing their funds.
Securities / Derivatives
SET to Step Up Measures to Address Irregular Trading
By Editors | 23/03/2022
The Stock Exchange of Thailand has received SEC approval to tighten its market surveillance measures, effective from 4 April.
Securities / Derivatives
ASX to Implement Fallbacks in OTC Interest Rate Derivatives
By Editors | 23/03/2022
From 27 June, all OTC Open Contracts cleared by ASX, including legacy trades, will be treated as if they incorporated fallback provisions contained in the 2021 ISDA Definitions.
Securities / Derivatives
Hainan to Launch Carbon Market in H2 This Year
By Sanday Chongo Kabange | 23/03/2022
The establishment of the Hainan International Carbon Emissions Trading Exchange was approved by provincial officials last month.
Securities / Derivatives
Chinese Firms Asked to Prepare Audit Documents for US Regulators
By Editors | 23/03/2022
US-listed companies including Baidu, JD.com and Alibaba have reportedly been asked by Chinese regulators to prepare audit documents for US regulators.
Securities / Derivatives
SEBI Eases Norms on Mutual Fund Transactions by Investors
By Editors | 23/03/2022
Norms prohibiting the use of one-time mandates to accept payments for mutual fund transactions have been eased.
ESG / Sustainability
US Climate Reporting Framework “Strikes a Good Balance”
By ESG Investor | 23/03/2022
The framework has been welcomed by investors, though Commissioner Hester Peirce warned it will undermine the existing regulatory framework.
ESG / Sustainability
HKEX Lists Hong Kong’s First Carbon Futures ETF
By Editors | 23/03/2022
The ETF, managed by CICC’s Hong Kong asset management unit, tracks the performance of a long-only basket of European Union Allowance futures contracts.
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