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SECURITIES / DERIVATIVES
Enforcement
SFC Suspends Former RO for 4 Years Over 2019 Share Placement
By Sanday Chongo Kabange | 29/05/2024
The share placement failures were attributable to the former RO’s neglect, gross negligence or recklessness, the SFC said.
Securities / Derivatives
SEBI Issues New Protocol for Commodity Trading Outages
By Ajoy K Das | 29/05/2024
In the event of a disruption, stock exchanges have to inform SEBI immediately and market participants within 15 minutes.
Securities / Derivatives
CSRC Tightens Rules on Share Disposals by Key Executives
By Editors | 29/05/2024
The rules prohibit major shareholders and senior managers of listed companies from offloading shares under certain situations.
Market Infrastructure
KRX Chief Outlines Four-Pillar Strategy to Boost Stock Market
By Editors | 29/05/2024
KRX will support the Value-Up Programme, introduce new products, delist zombie companies, and grow its data and index business.
Securities / Derivatives
US Adopts T+1 Settlement Cycle for Securities Transactions
By Editors | 28/05/2024
Canada, Mexico, Argentina and Jamaica implemented a T+1 settlement cycle on Monday and the US on Tuesday.
Securities / Derivatives
SEBI Issues Rules on Sharing Real-time Price Data with Third Parties
By Ajoy K Das | 28/05/2024
Regulator aims to check misuse of real-time share price data by online platforms including gaming apps, fantasy games and virtual stock portfolio.
Market Infrastructure
SFC Issues New Guidance on Offering HK Funds in ADGM
By Sanday Chongo Kabange | 28/05/2024
The guide explains how Hong Kong funds can be offered in the Abu Dhabi Global Market via the UAE fund passporting regime.
Enforcement
SFC Bars Ex-Licensee Over Unlicensed Activity
By Sanday Chongo Kabange | 28/05/2024
The SFC has barred Cheung Wing Hung for 18 months due to a criminal conviction for carrying out unlicensed activities.
Securities / Derivatives
SEBI Proposes New Valuation Approach for Unlisted Securities of AIFs
By Ajoy K Das | 28/05/2024
Securities such as unlisted securities, non-traded, thinly-traded and those below investment grade should adopt the IPEV Guidelines.
Big Picture
ESMA Issues Recommendations for More Effective Capital Market
By Mark Johnston | 28/05/2024
ESMA outlines 20 recommendations aimed at strengthening the capital markets within the EU to better serve citizens and businesses.
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