Securities / Derivatives

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    Enforcement

    Taiwan FSC Fines Fubon and Prudential Units for Misconduct by Employees

    By Editors | 13/09/2023

    Two Fubon employees and one Prudential employee mirrored the trades of the funds they were managing, using third-party accounts.

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    Securities / Derivatives

    NSE India Granted Approval for Crude Oil, NatGas Options

    By Editors | 12/09/2023

    NSE India already launched rupee-denominated WTI crude oil and natural gas futures contracts in May 2023. The new options contracts will launch on 23 October.

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    Enforcement

    SFC Revokes Fund Manager Licence, Suspends Manager-In-Charge

    By Sanday Chongo Kabange | 12/09/2023

    Axial Capital Management failed to maintain its required liquid capital for 19 straight months and to make various filings on time.

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    ESG / Sustainability

    Sri Lanka Revises Corporate Governance Rules for Listed Companies

    By Duruthu E Chandrasekera | 12/09/2023

    The revisions will help to build investor confidence and better align corporate governance practices in Sri Lanka with international standards.

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    Securities / Derivatives

    Singapore Exchange Reorganises Capital Markets Business Units

    By Editors | 12/09/2023

    The debt capital market and corporate client coverage units have been folded into SGX’s equity capital markets division.

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    Capital / Liquidity

    China Eases Stock Market Investment Rules for Insurers

    By Editors | 11/09/2023

    The rule changes are aimed at guiding insurers to support the development of the capital market as well as technology innovation.

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    Crypto / Digital Assets

    Hong Kong SFC Approves City’s First Real Estate STO

    By Editors | 11/09/2023

    Tykhe Capital Group will launch “Prince Token”, available only to professional investors. Subject to regulatory approval, the token will list on HKbitEX.

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    Fintech / Regtech

    MAS to Exempt Some Market Operators from ACH/RCH Rules

    By Editors | 10/09/2023

    The exemption applies to platforms that provide services to facilitate trading and settlement, but don’t actually act as a central counterparty of clear or settle trades centrally.

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    Market Infrastructure

    Trade Bodies Call on Policymakers to Scrap EU Clearing Proposal

    By Editors | 10/09/2023

    A proposed requirement for market participants to hold active accounts at EU CCPs will be detrimental to EU capital markets, the trade bodies say.

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    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.

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