Securities / Derivatives

Market Infrastructure

Taiwan FSC Raises Cybersecurity Expectations in Capital Market

By Darien Choong | 28/12/2021

Securities and futures companies have to disclose more information on cyber incidents. Listed companies have to strengthen cybersecurity management.

Securities / Derivatives

Indonesian Bourse Relaxes Listing Rules to Draw in Tech IPOs

By Editors | 28/12/2021

The relaxed rules allow firms to fulfil other qualifications in lieu of the existing net tangible assets requirements for listing.

Securities / Derivatives

The Rise of the SPAC Wave on Singapore’s Shores

By Johnny Lim | 28/12/2021

Johnny Lim and Michael Kwan consider SPAC developments around the world and set out considerations for those searching for the preferred listing destination.

Market Infrastructure

Hong Kong, Mainland Exchanges to Include ETFs in Stock Connect

By Editors | 28/12/2021

Eligible ETFs will be included in Stock Connect. Business and technical preparations are expected to take about six months to complete.

ESG / Sustainability

Sri Lanka Regulator to Align Rules with New SEC Act Within January

By Duruthu E Chandrasekera | 28/12/2021

The new SEC Act passed in September paves the way for new rules and guidelines to raise ESG standards among listed companies in Sri Lanka.

Securities / Derivatives

US Bourses Explore IPOs from SE Asia Amid Chinese Withdrawal

By Sanday Chongo Kabange | 24/12/2021

Continued regulatory scrutiny from Chinese and US regulators has reportedly compelled US exchanges to explore IPO hopefuls from India, Indonesia, Vietnam and Malaysia.

Enforcement

US Authorities Criminally Convict NatWest on Spoofing Charges

By Editors | 24/12/2021

NatWest traders engaged in schemes to defraud in connection with spoof orders designed to profit from manipulation of the US Treasury securities and futures markets, the DOJ said.

Securities / Derivatives

Regulatory Limits on Fees Will Not Apply to Accredited Investors: SEBI

By Mark Johnston | 23/12/2021

SEBI has clarified that the fees charged to accredited investors will not be subject to caps specified in existing guidelines for investment advisors and portfolio managers.

Securities / Derivatives

Taxing Securities Trades Will Reduce Competitiveness, says SET President

By Editors | 23/12/2021

SET president Pakorn Peetathawatchai Pakorn was responding to reports that the government is planning a 0.1 percent tax on securities trades.