Securities / Derivatives

Securities / Derivatives

ASIC Consults on How it Communicates Audit Review Findings

By Mark Johnston | 15/12/2021

ASIC proposes to start communicating with company directors more routinely regarding findings from its audit inspections.

Securities / Derivatives

ASX Introduces Electronic Delivery of CHESS Statements

By Sanday Chongo Kabange | 15/12/2021

The electronic delivery of CHESS statements provides a faster, more efficient service for investors, says ASX group executive Tim Hogben.

ESG / Sustainability

BOJ to Assess Market Functioning in Relation to Climate

By Editors | 14/12/2021

The BOJ will gather stakeholder views on how climate-related risks and opportunities are reflected in stock and bond prices and how to develop the ESG bond market.

Securities / Derivatives

HKEX Lists First ETFs Tracking MSCI China A 50 Connect Index

By Sanday Chongo Kabange | 14/12/2021

Two ETFs managed by China Asset Management and CSOP Asset Management listed on Monday, while a third will list on today.

Securities / Derivatives

SFC Sets Out Rules for Quarantine-free Travel to Mainland

By Manesh Samtani | 14/12/2021

Staff or directors of licensed corporations whose main purpose of travel is for the management of the firm’s Mainland business are eligible.

Fintech / Regtech

Bursa Malaysia Concludes Dematerialised Structured Warrants PoC

By Manesh Samtani | 14/12/2021

The PoC demonstrated that smart contracts can help to enable parties to share standardised and automated business processes and enable increased workflow efficiency.

Securities / Derivatives

US Sanctions Force Chinese AI Firm to Postpone HK IPO

By Manesh Samtani | 13/12/2021

The US Treasury placed Chinese AI firm SenseTime on an investment blacklist just as the company was preparing to list in Hong Kong.

ESG / Sustainability

Thai SEC Consults on Disclosure Guidance for SRI Funds

By Editors | 13/12/2021

Disclosures should include an investment strategy that details the securities analysis and selection process and investment benchmarks used.

Securities / Derivatives

SEBI Seeks to Regulate Algo Trading by Retail Investors

By Editors | 13/12/2021

SEBI is concerned that investors are increasingly using unregulated third party applications and algorithms to automate decision-making and trading.