Securities / Derivatives

Securities / Derivatives

Goldman to Build Out FX Trading Infrastructure in Singapore

By Editors | 30/09/2020

Goldman expects its FX pricing engine in Singapore to be live in the first quarter of 2021 across deliverable and non-deliverable currencies.

Fintech / Regtech

RegTech Asia 2020: Trade Surveillance and Monitoring

By Editors | 30/09/2020

What has the increased use of new client communication modalities to facilitate trading amid the pandemic meant for market surveillance and regulatory compliance?

Enforcement

Korean Prosecutors Raid KEB Hana Bank over Optimus Fund Mis-selling

By Editors | 30/09/2020

Prosecutors are looking to determine whether the bank purchased privately placed bonds under Optimus’ request or instruction.

Securities / Derivatives

KRX Offers English Translation Service for Company Filings

By Sanday Chongo Kabange | 29/09/2020

KRX says its investor base will expand by allowing foreigners improved accessibility to English language disclosures of listed companies.

Securities / Derivatives

Singapore Extends Measures on Electronic Offer Documents

By Editors | 29/09/2020

Listed issuers and parties involved in rights issues and takeover or merger transactions can electronically disseminate offer documents for 9 more months.

Securities / Derivatives

SEBI Guidelines for Investment Advisers Take Effect

By Duruthu E Chandrasekera | 29/09/2020

The guidelines, finalised in July, require investment advisors to only offer either advisory or distribution services to a client, but not both.

Enforcement

Two Ex-Deutsche Traders Convicted in Spoofing Case

By Sanday Chongo Kabange | 29/09/2020

The two former traders were found guilty of fraud charges for their respective roles in manipulating gold and silver futures prices.

Enforcement

Seoul Court Sentences Ex-Shinhan Exec to Eight Years’ Jail

By Sanday Chongo Kabange | 29/09/2020

The former executive was convicted for accepting bribes, deceiving investors, concealing losses in Lime Asset Management fund products.

Securities / Derivatives

SEBI Considers ‘Backstop Facility’ for Debt Mutual Funds

By Duruthu E Chandrasekera | 29/09/2020

The backstop facility would have to be able to buy relatively illiquid investment-grade corporate bonds from mutual funds in times of stress.