Securities / Derivatives

    Securities / Derivatives

    FSB Issues Guidance on Implementing SFT Data Standards

    By Editors | 13/04/2021

    The FSB has published FAQs to help national authorities implement the SFT Data Standards to facilitate global collection and aggregation of SFT data.

    Enforcement

    SEBI Fines Yes Bank, Three Others for Mis-selling AT1 Bonds

    By Editors | 13/04/2021

    SEBI says Yes Bank misled individual investors into buying risky AT1 bonds and did not inform them of the risks involved or conduct risk profiling.

    Enforcement

    Australian Charged With Insider Trading Over Diamond Discovery

    By Editors | 13/04/2021

    The man traded while in possession of inside information relating to a diamond discovery by Lonrho Mining in Africa in 2012.

    Enforcement

    Nomura Establishes Internal Team to Probe Archegos Loss

    By Sanday Chongo Kabange | 13/04/2021

    Nomura has set up the team to look into the bank’s risk management practices. It plans to disclose details of Archegos loss in late April.

    ESG / Sustainability

    New TSE Chief Eyes ESG Focus In Reorganisation Plan

    By Sanday Chongo Kabange | 12/04/2021

    Chief executive Hiromi Yamaji says the TSE will urge companies to step up efforts on ESG issues based on their market classification.

    Securities / Derivatives

    Thailand SEC Amends Rules for Capital Market Auditors

    By Sanday Chongo Kabange | 12/04/2021

    The experience requirement for auditors in the capital markets has been reduced from a minimum of 10 years to seven years.

    Securities / Derivatives

    PBOC Researchers Call for Establishment of Yuan Futures Market

    By Editors | 11/04/2021

    Offshore RMB rates are becoming increasingly influential, suggesting that they will play an even bigger role in pricing in future.

    Securities / Derivatives

    RBI Formalises Quantitative Easing Programme

    By Editors | 10/04/2021

    While the RBI has often purchased government securities, this is the first time it has committed to an amount upfront.

    Enforcement

    Malaysian Court Orders Restitution for 2009 Investment Scheme

    By Editors | 10/04/2021

    The Securities Commission had filed a civil suit against RBTR Asset Management and five others in 2009 for misleading investors.

    Market Infrastructure

    HoSE Pledges to Launch New Trading System by Year-end

    By Sanday Chongo Kabange | 10/04/2021

    HoSE will use all available resources to accelerate implementation and make the new system operational within this year.

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