Securities / Derivatives

Securities / Derivatives

SIFMA to Lead Shared Ledger Project for Multi-asset Transactions

By Manesh Samtani | 10/05/2024

The project participants and contributors include Citi, JP Morgan, Mastercard, Swift, Visa, Broadridge, DTCC, ISDA, and others.

Securities / Derivatives

SEBI Standardises Reporting Format for Investment Advisers

By Ajoy K Das | 10/05/2024

Investment advisers will need to submit reports to IAASB in a standardised format every six months.

Securities / Derivatives

Taiwan Securities Firms Can Expand IPO Loan Business

By Editors | 10/05/2024

Securities firms can handle subscription loans for clients who are employees or original shareholders of issuers.

Enforcement

FCA Defends Proposal to Name Firms Under Investigation

By Editors | 09/05/2024

The government, lawmakers and industry worry that the ‘name and shame’ approach will harm the market and individual companies.

Securities / Derivatives

LegCo Panel Provides Updates on HK Stock Market Reforms

By Manesh Samtani | 09/05/2024

The documents outline progress on paperless corporate communications, the USM regime, and extreme weather trading proposals.

Securities / Derivatives

Taiwan Revises Incentive Programme for Domestic Fund Managers

By Editors | 09/05/2024

The “Leap Forward Plan” initiative is being refined to make it more targeted towards actively managed funds rather than passively managed funds.

Enforcement

US Trial Begins Over Collapse of Archegos Capital Management

By Manesh Samtani | 09/05/2024

Archegos Founder Bill Hwang is charged with racketeering conspiracy, securities fraud, wire fraud and market manipulation.

Fintech / Regtech

Korea Launches Web-Based FX Trading Platform

By Mark Johnston | 09/05/2024

Koscom developed the platform to enhance accessibility to the domestic FX market, including for foreign firms.

Enforcement

ASIC Fines JP Morgan Unit for Failure to Detect Suspicious Trades

By Sanday Chongo Kabange | 09/05/2024

The case highlights that market participants “cannot solely rely on automated trade monitoring systems” to detect potential misconduct.