Securities / Derivatives

Securities / Derivatives

SEHK to Unify Main Board, GEM Websites From 28 May

By Editors | 08/05/2022

The websites will be unified to optimise HKEX’s technical infrastructure and provide investors more streamlined access to market information.

Market Infrastructure

US-China Talks on Audit Cooperation in ‘Late Stage’ – Reports

By Darien Choong | 08/05/2022

The talks are described as “late stage” due to concessions made by the CSRC. The SEC has added over 80 more companies to a list of Chinese firms that could be delisted in New York.

Market Infrastructure

SEBI Directs Stock Exchanges to Audit Systems and Networks

By Editors | 08/05/2022

Stock exchanges must certify that their trading architecture and co-location facilities conform with regulatory requirements and treat all market participants fairly and equitably.

Securities / Derivatives

China Announces Planned Measures to Boost Capital Market

By Darien Choong | 08/05/2022

The CSRC and stock exchanges will support fundraising by SMEs and real estate firms, and encourage listed companies, their shareholders, and institutional investors to buy more stock.

Enforcement

Two Convicted in Singapore’s Largest-ever Market Manipulation Case

By Editors | 06/05/2022

Two individuals were convicted on 349 charges for controlling and using 187 trading accounts to manipulate three penny stocks before they collapsed in October 2013.

Big Picture

DTCC Calls for Greater Scrutiny of Interconnectedness Risks

By Editors | 05/05/2022

Interconnectedness, while providing benefits, poses certain risks that need to be recognised and analysed to guard against system-wide vulnerabilities, DTCC says.

Securities / Derivatives

BSEC to Encourage Brokerage Firms to Launch IPOs

By Editors | 05/05/2022

Brokerage firms that are allowed to issue IPOs will be able to increase investment flows to the market and enhance their monitoring, BSEC said.

Securities / Derivatives

CSRC Set Out Regulatory Obligations of Delisted Companies

By Darien Choong | 05/05/2022

Companies must comply with disclosure and governance requirements after delisting to protect investors rights and safeguard social stability.

Fintech / Regtech

FSC Korea Issues New Rules for Fractional Investing Services

By Editors | 05/05/2022

The FSC will classify fractional investment products as securities on a case-by-case basis and require issuing firms to adopt investor protection measures.