Securities / Derivatives

Securities / Derivatives

CSRC Proposes Rule Revisions for Corporate Bond Issuance

By Editors | 08/09/2023

Land and environmental impact assessments must be provided if the funds raised from bonds are invested in fixed asset investment projects.

ESG / Sustainability

SEC Philippines to Issue Revised Sustainability Reporting Guidelines

By Sanday Chongo Kabange | 08/09/2023

The SEC says the revised guidelines will take into account the IFRS S1 and S2 standards and ensure listed companies report sustainability information consistently.

Enforcement

FSS Korea Calls on Foreign Firms to Tighten Short Selling Controls

By Manesh Samtani | 08/09/2023

FSS deputy governor Kim Jung-tae asked compliance officers from 23 foreign securities firms to help eradicate naked short selling from the market.

Securities / Derivatives

HKEX Expands Global Footprint with New London Office

By Editors | 08/09/2023

The new London office together with a New York office opened in June give HKEX a presence in the world’s three major time zones.

Fintech / Regtech

Malaysia SC Sets Rules for Offering Fractional Share Trading Services

By Editors | 07/09/2023

The guidelines seek to ensure stockbrokers have the necessary systems and controls to safeguard investors when offering them fractional share trading services.

Securities / Derivatives

Bursa Malaysia Partners With Cradle to Boost Startup Listings

By Editors | 07/09/2023

Cradle will help Bursa Malaysia gain market intelligence on the local startup ecosystem, aiding it in identifying potential candidates for listing at an early stage.

Enforcement

Seoul Prosecutors Seek Warrants to Arrest for Former Fund Execs

By Editors | 07/09/2023

Former senior executives of Discovery Asset Management are accused of violating the Capital Market Act, making unfair gains, and improperly diverting investor funds.

Enforcement

ASIC Directs Retail OTC Issuers to Improve DDO Compliance

By Sanday Chongo Kabange | 07/09/2023

ASIC said it will punish issuers of CFDs and other high-risk products for failure to comply with their design and distribution obligations.

Capital / Liquidity

HK Investors Prepare Legal Action Over Credit Suisse AT1 Bonds

By Sanday Chongo Kabange | 07/09/2023

Hong Kong investors will claim the wipeout of Credit Suisse AT1 bonds was at odds with a bilateral investment treaty between Hong Kong and Switzerland.