SECURITIES / DERIVATIVES

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    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.

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    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.

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    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.

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    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.

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    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.

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    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.

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    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.

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    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.

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    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.

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    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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