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Securities / Derivatives
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.
ESG / Sustainability
OJK Issues New Regulation on Sustainable Debt Securities and Sukuk
By Mark Johnston | 10/10/2023
The new regulation covers various types of debt and sukuk securities based on environmental and social values.
Capital / Liquidity
SEBI Imposes Capital Rule on Execution-only Mutual Fund Platforms
By Editors | 10/10/2023
Category-II EOPs will be required to maintain at least INR 1 million (USD 12,000) in capital with the stock exchange.
Enforcement
Korean Investors Warned About Illegal Overseas Trading
By Editors | 09/10/2023
The FSC and FSS say there has been a recent increase in the number of foreign investigations involving Korean investors.
Securities / Derivatives
SEBI Forms 16 Working Groups to Focus on Rule Simplification
By Editors | 09/10/2023
SEBI is additionally inviting suggestions from the public and regulated entities on ways to simplify, ease and reduce cost of compliance.
Securities / Derivatives
Taiwan: 11 Fund Managers Selected to Receive Policy Concessions
By Editors | 09/10/2023
Three firms were cut from the list of foreign fund managers eligible for policy concessions since last year. Goldman Sachs was added.
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