Securities / Derivatives

Enforcement

SFC Starts Legal Proceedings Against AMTD Global Markets Limited

By Sanday Chongo Kabange | 24/11/2023

The SFC has asked the city’s Court of First Instance to inquire into the circumstances of non-compliance by AMTD Global Markets Limited and its former executives.

Securities / Derivatives

Mizuho Seeking Licence to Establish China Securities Unit

By Editors | 24/11/2023

If approved, Mizuho will become the third Japanese firm after Nomura and Daiwa to establish a securities company in China.

Enforcement

EU Commission Fines Rabobank for Participating in Bond Trading Cartel

By Editors | 23/11/2023

Deutsche Bank also participated in the cartel but was not fined because it revealed the cartel to the Commission under its leniency programme.

Securities / Derivatives

HKEX Unveils Enhancements to Market Data Suite

By Sanday Chongo Kabange | 23/11/2023

From 1 December, HKEX will introduce new market data subscription options and reduce its mobile market data service fee.

Securities / Derivatives

Thai SEC Directs Stock Exchange to Tighten Short Selling Rules

By Mark Johnston | 23/11/2023

The regulator asked the SET to enforce stricter rules on short selling transactions, amid concerns of naked short selling in the market.

Fintech / Regtech

HKEX Launches New IPO Settlement Platform

By Manesh Samtani | 23/11/2023

The platform, known as FINI, shortens the IPO settlement cycle from five days to two days, lowering risks for issuers and investors.

Securities / Derivatives

HKEX Introduces Reforms to Allow IPO “Double Dipping”

By Editors | 22/11/2023

The reforms allow existing shareholders and cornerstone investors of a listing applicant to subscribe for or purchase further securities.

Securities / Derivatives

TAIFEX Partners CME Group, Nasdaq to Launch Semiconductor Futures

By Editors | 22/11/2023

New contract will make TAIFEX the only non-US exchange to list futures for four major US equity indexes.

Crypto / Digital Assets

ICMA Offers Analysis of Risk Disclosures Used to Issue DLT-based Bonds

By Editors | 22/11/2023

The analysis identifies additional risk factors that feature in bond offering documents to address risks specific to the use of DLT.