SECURITIES / DERIVATIVES

Securities / Derivatives

SEBI Mulls Tighter Listing Rules for Small Businesses

By Ajoy K Das | 16/05/2024

Regulators looking to set a minimum size threshold for public offers and to require additional disclosures from SMEs and merchant bankers.

Enforcement

Korea FSS Reveals Arbitration Results for Mis-sold ELS Products

By Editors | 16/05/2024

The final compensation ratio in representative cases from five banks varied from 30 to 65 percent.

Enforcement

CSRC Opens Investigation Into Hedge Fund Firm

By Editors | 16/05/2024

The investigation was prompted by reports that the firm’s controlling shareholder “ran away”.

ESG / Sustainability

ESMA Issues Fund Naming Guidance to Combat Greenwashing

By ESG Investor | 16/05/2024

The guidelines establish harmonised criteria for the use of ESG and sustainability terms in fund names.

Crypto / Digital Assets

Deutsche Bank Joins Singapore’s Project Guardian

By Nithya Subramanian | 15/05/2024

The bank will test an open architecture and interoperable blockchain platform to service tokenised and digital funds.

Securities / Derivatives

FCA Offers Recommendations on Avoiding Surveillance Failures

By Manesh Samtani | 14/05/2024

The FCA says failures of market abuse surveillance are often caused by faulty implementation, bugs, and incomplete data ingestion.

Securities / Derivatives

MAS Finalises Rules for New OTC Derivatives Reporting Regime

By Manesh Samtani | 14/05/2024

The final regulations come into operation on 21 October 2024, introducing the UPI, UTI, CDE and ISO 20022 in reporting.

Enforcement

ASIC Probes ANZ Over Treasury Bond Issuance

By Sanday Chongo Kabange | 14/05/2024

ASIC suspects ANZ breached the law while serving as a risk manager for a government bond issuance last year.

Securities / Derivatives

SGX Lists First ETF Tracking APAC Financial Sector

By Nithya Subramanian | 14/05/2024

The ETF is a collaboration between SGX, Lion Global Investors and OCBC Securities.