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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.
Securities / Derivatives
Eight SPACs Have Filed IPO Applications in Hong Kong
By Sanday Chongo Kabange | 02/03/2022
The first applicant, backed by CMB International, has been approved. The latest applicant is a SPAC majority owned by ex-HKMA chief Norman Chan.
Securities / Derivatives
SFC’s New Rules on Bookbuilding & Placing Activities: What to Know
By Alan Linning | 02/03/2022
Alan Linning and Susanne Harris explain the new requirements and offer guidance on next steps for intermediaries to prepare for compliance by August.
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