SECURITIES / DERIVATIVES

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    Enforcement

    ASIC Charges Four in Telegram ‘Pump and Dump’ Case

    By Sanday Chongo Kabange | 24/07/2024

    Four individuals coordinated to select penny stock targets and announced those targets in a public Telegram group named the ‘ASX Pump and Dump Group’.

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    Market Infrastructure

    HKIFA Proposes Enhancements for ETF Connect Initiative

    By Sanday Chongo Kabange | 24/07/2024

    HKIFA says Stock Connect ETF eligibility requirements should be further relaxed and Hong Kong issuers should be allowed to market in the mainland.

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    Big Picture

    ISDA Calls for Greater Digitisation of Derivatives Documentation

    By Ranamita Chakraborty | 24/07/2024

    An industry survey has revealed that the average time taken to negotiate derivatives documents hasn’t fallen since 2006.

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    Enforcement

    Hong Kong Court Jails Three in Landmark Manipulation Case

    By Sanday Chongo Kabange | 23/07/2024

    The jail sentences are the heaviest and longest imposed for market manipulation since the SFO came into effect in 2003.

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    Fintech / Regtech

    Korea to Allow Sale of Pension Products That Use AI

    By Editors | 23/07/2024

    Firms that passed a review can apply for designation as “innovation financial services” in September and sell AI-driven pension products online in December.

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    Crypto / Digital Assets

    Hong Kong Lists Asia’s First Inverse Bitcoin ETF

    By Sanday Chongo Kabange | 23/07/2024

    The new ETF was issued by CSOP Asset Management, which was also first to launch Asia’s first crypto futures ETFs in December 2022.

    Enforcement

    TAIFEX Amends Rules to Increase Penalties for Violations

    By Editors | 23/07/2024

    The amendments aim to enhance information security standards within futures firms, and better align with penalties in the securities market.

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    Securities / Derivatives

    Tokyo Bourse Now Requires Earnings Reports in HTML Format

    By Editors | 23/07/2024

    The TSE has been testing the use of HTML format for disclosures by listed companies since December 2021. HTML submission is now mandatory.

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    Enforcement

    Korea FSS Punishes Brokerage Firm for Mis-selling PE Funds

    By Editors | 22/07/2024

    Shinyoung Securities failed to properly explain the investment risks to customers when selling Lime and Discovery private equity funds.

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    Market Infrastructure

    China Publishes New Rules for Commodity Price Indexes

    By Editors | 22/07/2024

    The rules specify the requirements for entities that compile and publish price indexes including disclosure, naming and internal control requirements.

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