Securities / Derivatives

Enforcement

CSRC Fines GF Securities for Poor Due Diligence in Stock Sale

By Editors | 18/07/2023

GF Securities received an advance notice of administrative penalties from the CSRC connected to a 2018 share issuance by Misho Ecology & Landscape.

Fintech / Regtech

Korea FSS Launches New Online Licence Application Platform

By Sanday Chongo Kabange | 18/07/2023

The new “S.T.A.R.T” platform allows applicants to submit licensing, registration and accreditation applications digitally.

Securities / Derivatives

China Looking to Shore Up Confidence Among Foreign Investors

By Editors | 18/07/2023

Regulators are organising a meeting in Beijing this Friday to discuss the challenges faced by foreign investors and encourage them to maintain their presence in China.

ESG / Sustainability

IOSCO Issues Final Recommendations on Compliance Carbon Markets

By Editors | 18/07/2023

IOSCO’s final report sets out twelve key recommendations on establishing and enhancing compliance carbon markets, drawing from the experiences of traditional financial markets.

Securities / Derivatives

Bursa Malaysia Launches Programme to Incentivise ETF Trading

By Mark Johnston | 17/07/2023

The initiative is aimed at cultivating a vibrant ETF ecosystem and creating more opportunities for investors and traders.

AML / KYC

BSEC Chairman Under Scrutiny for Links to International Fraud

By Manesh Samtani | 17/07/2023

BSEC chairman Shibli Rubayat ul Islam allegedly received $800,000 in payments from accounts linked to a $13mn fraud against Hong Kong-based Ming Global.

Securities / Derivatives

DSB Integrates UPI in OTC ISIN UAT Environment 

By Editors | 17/07/2023

Users of the OTC ISIN UAT environment can now develop and test changes to their systems to incorporate the UPI as part of the OTC ISIN record.

Fintech / Regtech

ASIC to Host Industry Roundtable on CHESS Replacement Project

By Editors | 17/07/2023

ASIC chair Joe Longo will chair an industry roundtable on 2 August to discuss a proposed CHESS replacement solution.

ESG / Sustainability

SEBI to Require Listed Entities to Cover ‘Value Chain’ in ESG Disclosures

By Editors | 16/07/2023

Listed companies will have to incorporate ESG information from firms in their value chain in their annual BRSR reports, and obtain assurance for such information.