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Securities / Derivatives
Enforcement
Former AllianzGI Fund Manager Pleads Guilty to Fraud
By Editors | 10/06/2024
Gregoire Tournant admitted to providing deceptive information to investors in AllianzGI’s now-defunct Structured Alpha funds.
Securities / Derivatives
HKEX Targets September for Severe Weather Trading Launch
By Editors | 10/06/2024
HKEX is working to finalise the severe weather trading model and has set an internal target for implementation in September.
Securities / Derivatives
SEBI Issues Penalties Framework for MII Surveillance Lapses
By Ajoy K Das | 10/06/2024
SEBI will impose penalties for surveillance-related lapses based on annual turnover and the number of lapses during a financial year.
Securities / Derivatives
SEBI Proposes Tighter Rules for Stock Derivatives
By Ajoy K Das | 08/06/2024
SEBI proposes to adjust the market parameters for eligibility to ensure that only high-quality stocks are eligible.
Securities / Derivatives
SEBI Mandates Direct Payout of Securities to Investor Accounts
By Ajoy K Das | 08/06/2024
SEBI said implementation standards will be formulated by 5 August, ahead of full implementation on 14 October.
Securities / Derivatives
US Court Vacates New SEC Rule for Private Fund Advisers
By Nithya Subramanian | 07/06/2024
The appeals court ruled that the SEC “exceeded its statutory authority” by adopting the new rule for private fund advisers.
Securities / Derivatives
Japan Designates Four Cities as Special Asset Management Zones
By Editors | 07/06/2024
The government will work with Tokyo, Osaka, Sapporo, and Fukuoka to develop an attractive environment for asset managers.
Securities / Derivatives
SEBI Warning Letter to ICICI Bank Over Investor Outreach
By Ajoy K Das | 07/06/2024
ICICI Bank called shareholders of its securities unit seeking their votes to approve a delisting plan.
Enforcement
CSRC Addresses Market Fears About Stock Delistings
By Editors | 07/06/2024
The CSRC said there won’t be a significant increase in the number of delisted companies in the short term.
Enforcement
Japan FSA May Take Action Against MUFG Entities – Report
By Nithya Subramanian | 07/06/2024
MUFJ Bank and two affiliated securities firms allegedly shared nonpublic client information without consent.
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