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Securities / Derivatives
Enforcement
US Charges Exiled Chinese Businessman with $1b Fraud Scheme
By Editors | 16/03/2023
Guo Wengui and his financial adviser allegedly cheated thousands of investors since 2018 by promising outsized returns on various offerings.
Securities / Derivatives
HKEX Confirms Plans to Launch RMB Counter of its Stock
By Editors | 16/03/2023
HKEX said the launch of RMB counter will allow investors to seamlessly interchange between securities listed in both HKD and RMB.
Securities / Derivatives
MAS Publishes Findings from Inspections of VC Fund Managers
By Manesh Samtani | 16/03/2023
Some VCFMs did not make requisite disclosures to investors, have formalised policies and procedures in certain areas, and maintain a positive level of base capital.
ESG / Sustainability
New Zealand Considers Climate Reporting Exemptions for Secondary Listed Issuers
By Sanday Chongo Kabange | 15/03/2023
The exemptions seek to reduce compliance costs for foreign exempt issuers that already produce similar reporting in their home jurisdiction.
Market Infrastructure
FSC to Ease Rules to Help Korean FIs Expand Overseas
By Editors | 15/03/2023
New FSC taskforce will work on measures to help FIs expand and invest overseas and address issues that prevent global firms from entering the Korean market.
ESG / Sustainability
Philippines to Adopt ASEAN SRFS, Issue Blue Bond Framework
By Editors | 15/03/2023
The SEC will adopt the ASEAN Sustainable and Responsible Fund Standards and separately release a new blue bond framework by Q2.
Fintech / Regtech
Korea May See ATS Platforms Launch Within This Year
By Editors | 14/03/2023
Applications for preliminary accreditation will be accepted between 27-30 March. Once authorisation is granted, firms will have six months to launch.
Fintech / Regtech
ICMA Releases New Bond Data Taxonomy
By Editors | 14/03/2023
The Taxonomy will enable firms to more easily leverage new technologies, streamline issuance and post-trade operations, and exchange data.
Enforcement
SFC Fines Brokerage for 2015 System Testing Incident
By Editors | 14/03/2023
I-Access Investors incorrectly used data from system testing as production data and inadvertently triggered 27 stop loss sell orders by 12 clients.
Fintech / Regtech
Chinese Bourses Look to Tech to Combat Fraud in Markets
By Editors | 13/03/2023
The SZSE has been testing technology from an analytics firm to detect fraud and vet listings, while the SSE is proposing the use of big data and AI.
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