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Securities / Derivatives
Enforcement
Two Former JPMorgan Traders Jailed on Spoofing Charges
By Editors | 23/08/2023
Gregg Smith was sentenced to two years in prison, while Michael Nowak was sentenced to one year and one day in prison.
Enforcement
SFC Issues Fine for Trade Surveillance, Record-keeping Failures
By Editors | 22/08/2023
Alert review records were missing for over 14,000 alerts. Client call records were missing for more than 1,000 orders.
Capital / Liquidity
SGX RegCo Issues Alert Against Dasin Retail Trust
By Sanday Chongo Kabange | 22/08/2023
An individual apparently bought units to push up the price of Dasin Retail Trust, a China retail property trust providing exposure to the GBA.
Market Infrastructure
India’s Finance Minister Reviews Progress of GIFT City
By Mark Johnston | 22/08/2023
Nirmala Sitharaman reviews GIFT City’s progress, saying a legal framework for accounting, auditing, and taxation professionals will soon be in place.
Capital / Liquidity
Tokyo Bourse Approves Japan’s First Active ETF Listings
By Editors | 22/08/2023
Two active ETFs, both managed by Nomura Asset Management, will list on the Tokyo Stock Exchange on 7 September.
Enforcement
SFC Fines Changjiang Corporate Finance for Sponsor Failures
By Editors | 21/08/2023
The company is prohibited from acting as a sponsor for listing applications in Hong Kong for one year, potentially longer if deficiencies are not addressed.
Securities / Derivatives
FSB Launches Review to Assess MMF Reform Progress
By Editors | 21/08/2023
The objective of the review is to take stock of the progress made by jurisdictions to assess and address money market fund vulnerabilities.
Securities / Derivatives
Abaxx Seeks to Launch World’s First Nickel Sulphate Futures in Singapore
By Mark Johnston | 21/08/2023
Nickel sulphate is a key ingredient of EV batteries. The launch of the new futures contract is subject to review by MAS.
Market Infrastructure
China Unveils Package of Measures to Reinvigorate Stock Market
By Manesh Samtani | 21/08/2023
The measures include reducing transaction fees, encouraging stock buybacks by listed companies, and a possible extension of trading hours.
Securities / Derivatives
FSC Korea Outlines Policy Initiatives Planned for H2
By Editors | 20/08/2023
The initiatives focus on restoring investor trust, strengthening capital market structure, and ensuring financial stability.
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