Securities / Derivatives

Capital / Liquidity

FSC Korea Issues Revised Capital Markets Rules

By Sanday Chongo Kabange | 15/03/2021

The new rules prohibit investors from placing multiple orders for IPO subscription via multiple brokerages and improve Chinese wall regulations

Enforcement

Woori Accepts FSS Compensation Guideline for Lime Losses

By Editors | 15/03/2021

Woori will compensate investors who lost money from funds managed by Lime Asset Management in line with FSS recommendations.

AML / KYC

SFC Fines Sino-Rich Securities & Futures for AML Breaches 

By Editors | 15/03/2021

Sino-Rich Securities & Futures routinely processed 238 cash deposits and 269 third party transfers without adequate AML/CTF controls in place.

Securities / Derivatives

Global ESG Investing Qualification Launched by CFA Institute

By ESG Investor | 15/03/2021

Originally created by the CFA Society of the UK, the Certificate in ESG Investing will now be made available in financial hubs globally.

Securities / Derivatives

CSRC Mulls Tighter Listing Rules for STAR Market Stocks

By Ranamita Chakraborty | 15/03/2021

The revised rules are expected to emphasise the technology credentials and financial health of companies seeking a listing on the STAR Market.

Securities / Derivatives

Eurex to List KOSPI 200 Futures Product from 22 March

By Editors | 15/03/2021

Eurex already lists KOSPI 200 Options and Mini-KOSPI 200 Futures. The addition of KOSPI 200 Futures will offer trading, hedging and margin efficiencies.

Enforcement

Singapore Court Jails, Fines Ex-Director for False Trading

By Editors | 15/03/2021

The former director of investment and corporate advisory firm WLA Regnum was jailed and fined for false trading and deceiving UOB Kay Hian.

Securities / Derivatives

BNM Eases Rules for Non-resident Banks Trading Ringgit IRS

By Editors | 15/03/2021

Non-resident banks can trade ringgit-denominated interest rate swaps without any underlying commitment with any onshore bank or its appointed overseas offices.

Securities / Derivatives

SSE Signs Cooperation Agreement with Serbian Bourse

By Editors | 15/03/2021

The two exchanges will cooperate in information exchange, cooperative research, personnel exchange, and product development.