Securities & Trading

Many financial firms may be offering ESG products only because it is lucrative to do so, says SEC commissioner Hester Peirce.

BaFin has been under fire since mid-last year for failing to properly respond to multiple red flags signalling an accounting fraud at Wirecard.

Neil Murphy talks to Regulation Asia about how prepared phase 5 and 6 firms are for compliance and how TriOptima is easing the burden through automation.

Some warrants issued to early SPAC investors may have been recorded as equity instruments when they should have instead been recorded as liabilities.

The QDLP pilot programme will enable foreign fund managers to raise money in Hainan for investments overseas.

IOSCO Chair Ashley Alder believes we’re in sight of “a real step change” in sustainability reporting, writes Chris Hall at ESG Investor.

Non-residents who invest in debt securities in Thailand are required to open Segregated Securities Accounts with custodians at the UBO level.

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

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.

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