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Securities / Derivatives
Enforcement
US SEC Notifies Robinhood of Pending Enforcement Action
By Editors | 08/05/2024
The action is related to the cryptocurrencies offered on Robinhood’s platform, some of which may be classified by the SEC as securities.
Fintech / Regtech
Malaysia Launches New Platform to Connect Investors and DRs
By Mark Johnston | 08/05/2024
The “Bursa Reach” platform allows dealer’s representatives to showcase their expertise and profiles with investments.
Big Picture
Regulatory Hurdles Limit Adoption of Tokenised Alternative Assets
By Nithya Subramanian | 08/05/2024
Moody’s Investors Service outlines the technical and regulatory hurdles that may limit adoption of tokenised alternative assets.
ESG / Sustainability
ASIC to Update Guidance for Carbon Market Participants
By Editors | 08/05/2024
The proposed updates seek to address the implications of the safeguard mechanism reforms which commenced on 1 July 2023.
Securities / Derivatives
India to Update Listing Rules for GIFT City Exchanges
By Ajoy K Das | 08/05/2024
The proposed listing regulations take into account standards from IOSCO and best practices from other jurisdictions.
Sanctions
Russia Investing Accumulated Rupees in India – Reports
By Editors | 08/05/2024
Russia is no longer looking to repatriate its rupees as it can now invest in Indian stocks and government securities.
Securities / Derivatives
Singapore Examining Proposals to Boost Stock Market: Report
By Nithya Subramanian | 07/05/2024
The proposals would encourage stock investments by family offices, wealth management businesses, pension funds and sovereign funds.
Enforcement
Korea’s Naked Short Selling Probe Has Reached 14 Banks
By Editors | 07/05/2024
Two banks already face penalties. The FSS will review penalties for seven others. Five more are still being probed.
Securities / Derivatives
RBI Adjusts Bank Capital Market Exposure Norms
By Ajoy K Das | 07/05/2024
The RBI said the move to T+1 settlement prompted a review of the existing guidelines on the issuance of IPCs by banks.
Securities / Derivatives
MAS Issues Notice on Fund Data Submission Requirements
By Nithya Subramanian | 07/05/2024
Notice SFA 04-N23 specifies monthly and daily submission requirements applicable to managers of authorised CIS, excluding REITs.
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