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Securities / Derivatives
SFC Directs Licensed Corporations to Plan for Contingencies
By Editors | 07/03/2022
The SFC expresses concern that some licensed firms may not have plans in place to deal with financial distress or the sudden unavailability of key staff.
Enforcement
SMBC Nikko Employees Arrested in Manipulation Probe
By Editors | 07/03/2022
Two Japanese and two foreign nationals were arrested for allegedly manipulating at least five stocks when handling block orders for clients.
AML / KYC
Russia Lays Out Three Exit Options for Foreign Firms
By Manesh Samtani | 07/03/2022
One option is for foreign shareholders to transfer their shares to be managed by Russian partners until they return to the market at a later date.
Crypto / Digital Assets
Thailand SEC Tightens Custody Rules for Digital Assets
By Mark Johnston | 05/03/2022
The SEC is also proposing requirements for digital asset businesses to disclose service quality information on their websites.
Enforcement
NZ FMA Censures Derivatives Issuer Over Suitability Checks
By Editors | 05/03/2022
CTRL Investments allowed investors who could not demonstrate the necessary skills and knowledge to trade derivatives.
Enforcement
Korean Broker and Bank Penalised Over Optimus Mis-selling
By Editors | 04/03/2022
NH Investment & Securities cannot sell new private equity funds for three months. Hana Bank cannot be appointed as a fund trustee for three months.
Enforcement
SFC, HKEX Fine HSBC Securities for Regulatory Breaches
By Editors | 04/03/2022
The firm made errors when assigning BCANs to clients. It also oversold China securities due to deficiencies in its order management and algorithmic trading systems.
Securities / Derivatives
Cambodia Securities Exchange Launches New Mobile Trading App
By Editors | 04/03/2022
The mobile app will help promote the growth of trading and liquidity in Cambodia’s securities market, said CSX chief Hong Sok Hour.
Securities / Derivatives
SEBI to Allow FPIs to Access Commodities Derivatives Market
By Editors | 03/03/2022
SEBI proposes to scrap rules that require foreign investors to have actual commodity exposure to participate in the exchange-traded commodity derivatives market.
Securities / Derivatives
BSEC Plans to Transition Stock Market to T+2 Settlement
By Editors | 03/03/2022
BSEC is working on the technical aspects of the change, which will likely be implemented in phases, starting with blue-chip stocks.
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