Securities / Derivatives

Enforcement

Korea FSS Punishes 3 Brokerages Over Lime Asset Mis-selling

By Editors | 16/11/2021

Shinhan Investment and KB Securities were ordered to suspend parts of their operations for six months. Daishin Securities was ordered to close a branch.

Securities / Derivatives

Taiwan Formally Designates FSC as Crypto Industry Supervisor

By Editors | 16/11/2021

Cryptocurrency businesses will be listed under the category of “finance, insurance and real estate” and STOs will be listed under the securities firms subcategory.

Securities / Derivatives

Malaysian Regulators Pledge Support to Mid-Tier IPO Hopefuls

By Sanday Chongo Kabange | 15/11/2021

Bursa Malaysia and the SC will collaborate on efforts to help mid-tier companies become “investment-ready” and learn about governance requirements.

Securities / Derivatives

Australia Finalises Rules on Super Fund Portfolio Disclosures

By Editors | 15/11/2021

Morningstar has expressed concern that the rules do not require super funds to disclose specific stocks or bonds held in portfolios run by external asset managers.

Securities / Derivatives

Taiwan Raises Risk Management Expectations for Futures Funds

By Darien Choong | 15/11/2021

Futures trusts will need to have dedicated risk management departments and be prohibited from conducting discretionary futures trades for clients.

ESG / Sustainability

SRI Taxonomy a ‘Critical Building Block’ for Malaysia Capital Market

By Manesh Samtani | 15/11/2021

Malaysia’s Securities Commission is on track to publish a draft SRI taxonomy for consultation by the end of the year.

Securities / Derivatives

Chinese Power Companies Issue First ‘Energy Guarantee Bonds’

By Editors | 15/11/2021

Industrial Bank underwrote two ‘energy guarantee bonds’ worth a total CNY 4 billion, the proceeds of which will be used to help address power shortages.

Securities / Derivatives

TSE RFQ platform for ETFs Reaches New Milestone

By Editors | 15/11/2021

The Tokyo Stock Exchange said it plans to continue to update and improve the CONNEQTOR platform by enabling a larger variety of trading methods.

Securities / Derivatives

China Allows Foreign Firms to Issue Social, Sustainability Bonds

By Editors | 15/11/2021

Overseas firms  can register to issue ‘panda bonds’ designated to fund social responsibility and sustainable development projects, NAFMII has announced.