Securities / Derivatives

    Big Picture

    AmCham Offers Taiwan Tips for Improving Financial Sector

    By Sanday Chongo Kabange | 27/06/2021

    AmCham Taipei’s new whitepaper offers recommendations for banking, capital markets, asset management, private equity, insurance, tax, and sustainable development.

    Crypto / Digital Assets

    ASIFMA Spotlights Tokenised Securities in New Paper

    By Manesh Samtani | 27/06/2021

    The paper calls on regulators to issue more guidance on the classification of tokens and modernise paper-based requirements in securities markets.

    Enforcement

    ASIC Removes SocGen Securities Licence Conditions

    By Ranamita Chakraborty | 27/06/2021

    Independent expert did not identify any deficiencies in the adequacy and effectiveness of SocGen’s client money controls.

    Securities / Derivatives

    Korea to Impose Additional Requirements for PE Funds

    By Sanday Chongo Kabange | 27/06/2021

    A new rule will also be introduced to allow for faster removal of fund managers that fail to meet the requirements.

    Enforcement

    SFC Probes CLSA Over CEFC Energy Bond Deal

    By Sanday Chongo Kabange | 25/06/2021

    A former CLSA managing director has accused CLSA of “blatant” misbehaviour as bond underwriter for the now-defunct CEFC Energy.

    Securities / Derivatives

    China Launches Crude Oil, Palm Oil Options Contracts

    By Sanday Chongo Kabange | 25/06/2021

    The new contracts are the first options contracts to launch in China that are accessible to foreign investors.

    Enforcement

    SGX RegCo Set to Expand Enforcement Powers

    By Manesh Samtani | 25/06/2021

    From 1 August, SGX RegCo will be able to issue public reprimands, require issuers to comply with specified conditions, and demand director resignations.

    Securities / Derivatives

    CBSL Lifts Ban on Banks Buying Sri Lankan Sovereign Bonds

    By Ranamita Chakraborty | 25/06/2021

    Banks can purchase Sri Lankan sovereign bonds in the secondary market only using freshly raised borrowings from overseas.

    Enforcement

    SFC Fines Deutsche Securities Asia Over Prime Brokerage Statements

    By Editors | 25/06/2021

    A system design caused a failure to distinguish between ex-entitlement dates and settlement dates of bonus share events in periodic statements.

    Big Picture

    Citadel Securities Offers Best Practices to Address Exchange Outages

    By Manesh Samtani | 24/06/2021

    Common issues that have compounded the impact of recent outages continue to be largely overlooked by some exchanges.

    JOIN OUR NEWSLETTER

    A daily selection of top stories from the Regulation Asia editorial team