Securities / Derivatives

Securities / Derivatives

FSC Korea Approves Rule Changes to Promote KONEX Market

By Editors | 28/04/2022

The changes will allow retail investors to trade the KONEX market more freely and allow listed firms to more easily maintain their listing status.

Enforcement

US Authorities File Charges Against Archegos, Key Executives

By Manesh Samtani | 28/04/2022

The DOJ, CFTC and SEC charged Archegos and four of its executives for defrauding banks and brokers and manipulating the prices of publicly traded securities.

ESG / Sustainability

F4B Proposes Governance Model for Carbon Markets

By ESG Investor | 28/04/2022

The model builds on three principles to ensure carbon markets grow rapidly, adhere to standards, and help the global economy move toward net zero.

Securities / Derivatives

BlackRock Launches First Private Pension Product in China

By Darien Choong | 27/04/2022

The product was launched by a BlackRock-CCB joint venture, the first foreign-controlled institution that was approved to take part in private pension pilot trials.

Securities / Derivatives

Taiwan: Foreign Brokers Cleared of Wrongdoing in Trading Probe

By Editors | 27/04/2022

A probe into foreign brokerage firms was launched last month after they sold shares in TSMC while also issuing “buy” recommendations in research reports.

Big Picture

New Guidance for Asset Owners on UNGP Roadmap

By ESG Investor | 27/04/2022

The BSR report explains how adopting a human rights-based approach to finance can strengthen the impact of ESG practices.

AML / KYC

ICMA Issues Guidance on Repo Trades Impacted by Sanctions

By Manesh Samtani | 27/04/2022

ICMA provides guidance on handling situations where counterparties may fail to deliver collateral securities due to the imposition of sanctions.

Securities / Derivatives

LME to Cease Trading in Gold, Silver Futures in July

By Editors | 27/04/2022

The LME said the decision was made following discussions with market participants and “in light of the low levels of trading activity”.

Market Infrastructure

HKEX, SFC to Open HKIDR Testing to Market on 16 May

By Sanday Chongo Kabange | 27/04/2022

Regulated intermediaries are asked to get ready for the testing, which is mandatory. The HKIDR is expected to be implemented in the later part of Q4 2022.