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Securities / Derivatives
Enforcement
HK Retail Trader Convicted of Fraud Involving Naked Short Selling
By Sanday Chongo Kabange | 28/02/2024
This is the first criminal conviction in Hong Kong for securities fraud involving illegal short selling.
Securities / Derivatives
SEBI Seeking Greater Transparency from Small, Mid-cap Funds
By Ajoy K Das | 28/02/2024
High inflows into small and mid-cap funds have raised concerns about potential liquidity challenges in the event of large redemptions.
Market Infrastructure
Philippine SEC Consults on Cyber Resilience Guidance
By Sanday Chongo Kabange | 28/02/2024
The SEC and PSE are consulting proposed guidance for regulated entities on establishing and maintaining a cyber resilience framework.
Capital / Liquidity
More Progress Needed to Address MMF Vulnerabilities: FSB
By Manesh Samtani | 28/02/2024
Since 2021, only China has improved the ability of MMFs to absorb losses, and only India can impose the use of swing pricing.
Securities / Derivatives
Philippine SEC Eases IPO Rules for Energy Firms
By Sanday Chongo Kabange | 28/02/2024
The SEC has simplified registration procedures for energy firms to offer and sell shares to the public.
Securities / Derivatives
SEBI Cautions Investors of Fraudsters Claiming to Represent FPIs
By Ajoy K Das | 27/02/2024
Fraudsters are falsely claiming affiliations with SEBI-registered FPIs and offering trading opportunities and online courses to entice investors.
Securities / Derivatives
HKEX to Launch Self-Match Prevention Service Within Q1
By Editors | 27/02/2024
Testing of the service for the securities market is complete. Firms are encouraged to join a practice session on 9 March to ensure readiness for the launch.
Enforcement
SFC Launches Proceedings Against Ex-Chairman of Ding Yi Feng
By Sanday Chongo Kabange | 27/02/2024
The SFC is seeking orders requiring the former chairman and 20 others to compensate investors for losses suffered as a result of a 2018 price manipulation scheme.
Securities / Derivatives
SEBI Proposes to Relax Requirements for Mutual Funds
By Ajoy K Das | 27/02/2024
Separate dedicated fund managers would no longer need to be appointed for commodity and overseas investments.
Securities / Derivatives
Malaysia Commits to Cutting IPO Approval Time to Three Months
By Editors | 27/02/2024
IPO applications submitted from 1 March 2024 will take just 3 months for approval, down from the current 4-12 months typically required.
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