Securities / Derivatives

    Fintech / Regtech

    SGX, Marex Spectron Join Forces on Ferrous Analytics Tools

    By Editors | 17/03/2021

    Marex Spectron will apply its analytics tools on publicly available data for SGX commodity derivatives to provide Titan OTC participants with in-depth analysis and richer datasets

    Securities / Derivatives

    Hong Kong to Further Develop Structured Credit Markets

    By Manesh Samtani | 17/03/2021

    Structured credit products can help to raise green capital from international investors to support China’s transition to its 2060 carbon neutrality target.

    Securities / Derivatives

    ESMA to End 0.1% Threshold for Short Position Reporting

    By Editors | 16/03/2021

    ESMA says the current financial market environment no longer resembles the emergency situation that required it to tighten short position reporting rules last March.

    Securities / Derivatives

    HKEX Sets Launch Date for Mini USD/CNH Futures

    By Editors | 16/03/2021

    The new contract will provide investors additional risk management tools, help them optimise their capital efficiency, and support the RMB’s internationalisation.

    Enforcement

    CSRC Fines Fund Manager ¥1.1m for Fraud, Embezzlement

    By Editors | 16/03/2021

    Cornerstone Capital’s controlling shareholder was also fined for fabricating the financials of funds managed by the firm.

    Securities / Derivatives

    SZSE Launches Sci-Tech Innovation Bonds, Carbon-neutral Bonds

    By Sanday Chongo Kabange | 16/03/2021

    Sci-tech innovation bonds will be used to fund projects that support scientific and technological innovation. Carbon-neutral special bonds will fund low-carbon and emission reduction projects.

    Securities / Derivatives

    ASEAN Capital Markets Forum Endorses Action Plan for 2021-2025

    By Editors | 16/03/2021

    The action plan focuses on the objectives of fostering growth with sustainability; promoting inclusiveness; and strengthening orderliness and resilience.

    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.

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