Securities / Derivatives

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.

Securities / Derivatives

Global ESG Investing Qualification Launched by CFA Institute

By ESG Investor | 15/03/2021

Originally created by the CFA Society of the UK, the Certificate in ESG Investing will now be made available in financial hubs globally.