Securities / Derivatives

Securities / Derivatives

ASIC Consults on Changes to Market Integrity Rules

By Editors | 02/07/2021

Among the changes, the consultation proposes to require market participants to notify ASIC if it suspects a person of engaging in insider trading or manipulative trading.

Securities / Derivatives

Hong Kong: Deutsche Bank IPO Sponsor Licence to Lapse

By Editors | 02/07/2021

Deutsche was meant to replace two departing senior employees and obtain SFC approval for their replacements but a “timing mismatch” occurred.

Crypto / Digital Assets

SC Malaysia Expands Sophisticated Investor Definition

By Editors | 02/07/2021

More investors will be allowed to expand their investment options and issuers will be able to tap into a larger pool of sophisticated investors.

Securities / Derivatives

HKEX Asks Participants to Prepare for FRC Transaction Levy

By Manesh Samtani | 01/07/2021

Levies will be payable to the Financial Reporting Council by sellers and purchasers of securities, public interest entities, and PIE auditors from 1 January 2022.

Market Infrastructure

IOSCO Proposes Sustainability-related Rules for Fund Managers

By Editors | 01/07/2021

Recommendations for securities regulators cover asset manager practices, product disclosure, supervision and enforcement, terminology, and investor education.

Securities / Derivatives

Tokyo Bourse Lists First Depositary Receipts by Asian Firm

By Sanday Chongo Kabange | 01/07/2021

Singapore-based Omni-Plus System is only the second foreign company to list JDRs, after US chip design company Techpoint’s 2017 offering.

Market Infrastructure

FMA Finds Improved Regulatory Arrangements at NZX

By Ranamita Chakraborty | 01/07/2021

The overall design of NZ RegCo is a notable improvement on prior arrangements, FMA said in an annual review of NZX.

Market Infrastructure

BOK to Continue Bond Market Support, Scale Back Monetary Measures

By Editors | 01/07/2021

The BOK is concerned that growing financial risks, household debt, and higher inflation could spark a new crisis.

Securities / Derivatives

ASIC Proposes New Guidance for Crypto-asset ETPs

By Editors | 01/07/2021

In ASIC’s view, only bitcoin and ether are likely to satisfy proposed criteria for determining whether a crypto-asset is appropriate as an ETP’s underlying asset.