ADVERTISEMENT
Securities / Derivatives
ESG / Sustainability
Bursa Malaysia, Westports, OCBC to Collaborate on ESG
By Mark Johnston | 12/10/2023
Westports Holdings and OCBC Bank will become the latest early adopters of Bursa Malaysia’s Centralised Sustainability Intelligence Platform.
Enforcement
SFC Bans Investment Banker for Seven Years for Sponsor Failures
By Editors | 12/10/2023
The SFC said there was a need to send a “strong deterrent message” that failures of sponsors and sponsor principals will not be tolerated.
Securities / Derivatives
SFC Proposes New Guidelines for Market Soundings
By Manesh Samtani | 12/10/2023
The proposed guidelines introduce a common set of “Core Principles” for market soundings to prevent misuse of non-public information.
Fintech / Regtech
SIFMA Urges SEC Not to Adopt Proposed Rules for Predictive Data Analytics
By Mark Johnston | 11/10/2023
SIFMA said the proposed rules would impose unreasonable and unworkable requirements on brokers and advisors and limit their ability to use technology.
Fintech / Regtech
SEBI Grants MCX Approval to Launch New Platform
By Mark Johnston | 11/10/2023
The new web-based commodity derivatives platform will launch on 16 October after being put on hold last month.
Securities / Derivatives
Korea Mulls Curbs on Stock Market Speculation by Retail Investors
By Editors | 11/10/2023
Governor Lee Bok-hyun said the FSS is looking to crack down on leveraged buying by retail investors and margin call risks.
ESG / Sustainability
An Exploration of Greenwashing Risks in Investment Fund Disclosures
By Nicole Gehrig | 11/10/2023
Nicole Gehrig discusses concerns about greenwashing in the investment management industry and recommendations to address problematic disclosures.
Enforcement
FSS Korea Strengthens Capital Markets Inspection System
By Sanday Chongo Kabange | 11/10/2023
Market participants that engage in illicit conduct will face immediate deregistration or licence revocation for even a single offence.
ESG / Sustainability
ICMA Publishes Analysis of Greenwashing Risks
By Editors | 10/10/2023
ICMA says greenwashing is not prevalent in the sustainable bond market, but is an issue in the sustainable funds space.
AML / KYC
US SEC Adopts Shorter Deadlines for Reporting Beneficial Ownership
By Editors | 10/10/2023
Investors will be required to report in five days rather than ten days if they beneficially own more than 5 percent of a stock.
JOIN OUR NEWSLETTER
An exclusive weekly selection of top stories from the Regulation Asia editorial team.