Securities / Derivatives

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    ESG / Sustainability

    SEBI Enhances Disclosure Requirements for Transition Bonds

    By Editors | 08/05/2023

    Transition bonds were added to SEBI’s framework for green debt securities in February. The additional disclosures seek to ensure funds raised are not misallocated.

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    Enforcement

    Singapore Lays Three More Charges Against Hyflux Founder

    By Editors | 07/05/2023

    Singapore’s Public Accountants Oversight Committee has also issued orders against Hyflux auditors from KPMG LLC for five years of financial statements.

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    Securities / Derivatives

    China: AMAC Proposes Additional Requirements for Private Securities Funds

    By Editors | 07/05/2023

    PE funds must have at least 10mn yuan under management to remain in operation. Firms with more than 2bn yuan under management will have to undergo regular stress tests.

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    Enforcement

    UK FCA Fines Banque Havilland for Alleged Manipulative Trading

    By Sanday Chongo Kabange | 06/05/2023

    Banque Havilland employees including the CEO created and distributed a document containing “manipulative trading strategies” aimed at harming Qatar’s economy.

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    Fintech / Regtech

    AI Ethics: A Framework for Investment Professionals

    By Siva Ramachandran | 06/05/2023

    CFA Institute’s Siva Ramachandran and Phoebe Chan examine the ethical aspects of using AI tools in investment management.

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    Enforcement

    FSS Korea Uncovers First “Malicious” Cases of Naked Short Selling

    By Editors | 06/05/2023

    The FSS uncovered cases where market participants deliberately short-sold securities without first borrowing the stock in a bid to “maximise trading profits”.

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    Market Infrastructure

    Regulators Announce 15 May Launch Date for Swap Connect

    By Editors | 06/05/2023

    Swap Connect will allow overseas investors to trade in Mainland interest rate swap contracts on CFETS via Tradeweb and Bloomberg.

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    Enforcement

    Goldman Under Probe for Possible Role in SVB Collapse

    By Editors | 05/05/2023

    Goldman Sachs said it is cooperating with governmental bodies in connection with their investigations and inquiries into SVB.

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    Market Infrastructure

    PNGX Set to Adopt New Listing Rules, T+2 Settlement Cycle

    By Sanday Chongo Kabange | 04/05/2023

    The new listing rules will take effect in July, at the same time PNGX moves from a T+3 to T+2 settlement cycle.

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    Capital / Liquidity

    ASEAN+3 Ministers Work to Bolster Regional Safety Net

    By Editors | 04/05/2023

    CMIM guidelines were updated to allow members to provide liquidity support in their own domestic currency and the local currencies of other members.

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