Securities / Derivatives

Securities / Derivatives

TSE Invites Firms to Register for New RFQ Platform for ETFs

By Editors | 01/11/2020

The new platform, CONNEQTOR, will be ready for production use next month, allowing institutional investors to send RFQs to market makers.

Market Infrastructure

PBOC to Scrap Market Maker Approval Process in Interbank Market

By Sanday Chongo Kabange | 01/11/2020

The PBOC proposes to allow banks and securities firms to only sign an agreement with trading platforms to conduct market making business.

Enforcement

MAS Bans Two Former Bankers for Fraud, Dishonest Conduct

By Editors | 01/11/2020

The former OCBC treasury advisor placed unauthorised FX trades in client accounts, while the former UOB relationship manager made unauthorised bank transfers.

Securities / Derivatives

IFSCA Approves Bullion Trading Regulations for Gift City

By Sanday Chongo Kabange | 01/11/2020

The regulations provide guidelines on to functions, general obligations, ownership and governance structure for a bullion exchange and clearing corporation in Gift City.

Securities / Derivatives

US, Thailand Partner to Strengthen Infrastructure Finance

By Editors | 30/10/2020

The cooperative initiative will focus on the development of financial instruments, project finance, the local debt market, and capital markets.

Securities / Derivatives

PRI Offers Guidance on Asset Owner Relationships with Asset Managers

By ESG Investor | 30/10/2020

The new series offers guidance on the selection, appointment and monitoring of investment managers, reflect growing demand for sustainable investment.

ESG / Sustainability

Support for TCFD Climate Disclosure Recommendations Rising

By ESG Investor | 30/10/2020

Asset manager and asset owner reporting to clients and beneficiaries may not be sufficient, says a new report from the TCFD.

Enforcement

SFC Suspends Licence of Mason Securities Representative

By Editors | 30/10/2020

The former licensed representative said she had forgotten to declare an external securities trading account initially, and “could not be bothered to do so subsequently”.

ESG / Sustainability

AIMA, Simmons & Simmons Launch ESG Primer for Asia Fund Managers

By Editors | 30/10/2020

The primer contains key concepts and taxonomy, recent regulatory developments impacting Asia fund managers, and a checklist for developing an ESG strategy and roadmap.