Securities / Derivatives

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.

Crypto / Digital Assets

SET to Launch Digital Asset Exchange ‘Very Soon’

By Editors | 03/03/2022

The new digital asset exchange will not offer cryptocurrency trading, but instead focus on investment tokens and utility tokens.

Securities / Derivatives

JSDA Proposes Measures to Improve IPO Pricing Mechanism

By Editors | 03/03/2022

JSDA proposes to allow brokers greater flexibility in IPO price-setting, and to allow prices to exceed pre-set bands if demand is strong.

ESG / Sustainability

Bursa Malaysia Launches New Initiative to Boost Appeal of PLCs

By Editors | 02/03/2022

Five digital guidebooks will be issued in 2022, to help publicly listed companies adopt best practices in areas such as governance and sustainability.