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SECURITIES / DERIVATIVES
Securities / Derivatives
HKFE to Standardise Automatic Strike Listing Rules for Options
By Editors | 31/07/2024
Rule change will enable automatic strike listing based on daily underlying price movements all the way through to expiry for monthly option contracts.
Enforcement
Six US Banks Agree to Settle Antitrust Litigation for $80m
By Editors | 31/07/2024
The banks allegedly colluded to bid up bond prices at auction and then sell those bonds at inflated prices to pension funds and other investors.
Market Infrastructure
IIB Warns of Extraterritoriality of Treasury Clearing Proposal
By Editors | 31/07/2024
Under a proposed FICC rule, the SEC’s clearing mandate on US Treasury securities would apply to an entire foreign bank, rather than just its US-based branch.
Securities / Derivatives
New Micro TAIEX Futures Commence Trading in Taiwan
By Nithya Subramanian | 31/07/2024
TAIEFX said the addition of Micro TAIEX Futures to the exchange’s product line-up offers traders greater flexibility and accessibility.
Enforcement
US Authorities Charge Founder of Crypto Firm BitClout
By Editors | 31/07/2024
Nader Al-Naji faces civil and criminal charges for allegedly lying to investors and misappropriating investments for personal expenses and gifts.
Securities / Derivatives
SEBI Launches AI-enabled Chatbot to Address Investors’ Queries
By Ajoy K Das | 31/07/2024
The chatbot can currently answer questions relating to the securities market, the latest master circulars, and the grievance redressal process.
Enforcement
Ex-CITIC Banker Ordered to Disgorge Insider Dealing Profits
By Sanday Chongo Kabange | 31/07/2024
Hong Kong’s Market Misconduct Tribunal also banned the former executive deputy general manager from certain activities for three years.
Enforcement
ANZ Working to Address Conduct Issues With “Urgency”
By Sanday Chongo Kabange | 31/07/2024
ANZ said it has suspended, terminated and issued a formal warning to several employees in its Sydney dealing room.
Enforcement
MAS Reprimands RVP One & CEO for Regulatory Breaches
By Nithya Subramanian | 31/07/2024
The RFMC failed to submit information about its financial returns and notify MAS of changes to its shareholding structure, MAS said.
Securities / Derivatives
Japan Seeking More Foreign Participation in JGB Market
By Editors | 31/07/2024
The government reportedly plans to designate brokerage firms to work on outreach activities to attract overseas investors into the JGB market.
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