Securities / Derivatives

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    AML / KYC

    Indian Authorities Investigating Three ‘Top Brokers’ – Reports

    By Editors | 16/05/2023

    Three top brokers, who were not named, were found to be engaged in “large-scale money laundering activities” with the involvement of PEPs.

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    ESG / Sustainability

    Hong Kong ESG Rules May Lift Mainland Disclosures

    By ESG Investor | 16/05/2023

    The upcoming rules will make HKEX-listed companies subject to the most stringent ESG disclosure requirements in the region.

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    Securities / Derivatives

    Northbound Trading for Swap Connect Has Launched

    By Manesh Samtani | 15/05/2023

    At the opening bell, 37 transactions worth about $273mn were executed involving participation from 16 foreign institutions.

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    Securities / Derivatives

    ICE Invites HK Firms to Trade Futures in Singapore

    By Editors | 14/05/2023

    ICE Clear Singapore received authorisation from the SFC allowing it to clear ICE Futures Singapore trades for Hong Kong-based clearing members.

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    Securities / Derivatives

    IOSCO Issues Guidance on Good Practices For ETFs

    By Editors | 14/05/2023

    The good practices cover effective product structuring, disclosure, liquidity provision, and volatility control mechanisms.

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    Enforcement

    CFTC Fines HSBC for “Deceptive Trading”, WhatsApp Use

    By Editors | 14/05/2023

    The CFTC fined three HSBC affiliates a total $75m for manipulative and deceptive trading, spoofing, and supervision and record-keeping failures.

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    ESG / Sustainability

    Philippine SEC Adopts ASEAN SRF Standards

    By Sanday Chongo Kabange | 14/05/2023

    Rules are established to enable local and ASEAN-member investment companies and CIS operators to offer sustainable and responsible funds locally and across the region.

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    Securities / Derivatives

    Korea Offers Tax Benefits to Investors in High Yield Bond Funds

    By Editors | 14/05/2023

    The incentive is expected to help boost the demand for mid- and low-credit grade corporate bonds in the market.

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    ESG / Sustainability

    Stewardship Dialogue Must be Ongoing – FCA

    By ESG Investor | 13/05/2023

    UK regulator seeks evidence of barriers to collaborative engagement, expects consultation responses to feed into review of ‘macro’ stewardship.

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    Securities / Derivatives

    SSE, SZSE Issue Updated Guidelines for Infrastructure REITs

    By Mark Johnston | 13/05/2023

    The revised guidelines aim to optimise the review process, enhance information disclosures, and promote the infrastructure REITs market.

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