SECURITIES / DERIVATIVES

Securities / Derivatives

SEBI Launches Consultation to Simplify FPI Registration

By Nithya Subramanian | 25/09/2024

SEBI has proposed only collecting information that is unique to FPI applicants in order to save time and effort.

Market Infrastructure

Japan to Launch Asset Management Forum on 3 October

By Manesh Samtani | 25/09/2024

Prime Minister Fumio Kishida said the Forum will be launched by leading Japanese and US asset management companies.

Enforcement

MAS Imposes Five-Year Ban on Former Nech Capital Trader

By Mark Johnston | 25/09/2024

The former trader executed trades between Nech Capital’s accounts and those of his relatives, causing losses to his employer.

Enforcement

SFC Imposes Six Month Ban on Former Goldman Trader

By Mark Johnston | 25/09/2024

The former trader tried to dishonestly conceal a trade execution error, in breach of the Code of Conduct.

Market Infrastructure

SGX Mulls Establishment of New Office in Dubai – Report

By Nithya Subramanian | 25/09/2024

SGX is exploring the possibility of opening an office in Dubai as a number of major funds relocate to the UAE.

Enforcement

SFC Suspends Ever-Long Securities Director for Sponsor Failures

By Mark Johnston | 25/09/2024

The SFC said the former RO breached the Code of Conduct and failed to exercise due skill, care, and diligence in sponsor work.

ESG / Sustainability

RIAA Launches Investor Toolkit on Nature-related Risks

By ESG Investor | 25/09/2024

The Nature Investor Toolkit, supported by ISS ESG and Pollination, aimes to help investors identify and assess nature-related risks and opportunities.

Market Infrastructure

SEBI Eases Financial Disincentive Rules for Technical Glitches at MIIs

By Ajoy K Das | 25/09/2024

Financial disincentives for key executives will no longer be triggered automatically in the event of a technical glitch at an MII.

Securities / Derivatives

CSRC Enhances Securities Industry Risk Control Indicator System

By Editors | 25/09/2024

The standards used by securities firms to calculate risk control indicators have been optimised and improved.