Securities / Derivatives

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    Securities / Derivatives

    Korea to Develop Fund Manager Guidance on Exercise of Voting Rights

    By Editors | 15/04/2023

    There is currently insufficient guidance on the exercise of voting rights, particularly for issues involving corporate governance and ESG matters, the FSS said.

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    Fintech / Regtech

    Tiger Brokers Tests ‘TigerGPT’ Chatbot as Investment Assistant

    By Editors | 14/04/2023

    The OpenAI-powered chatbot is said to be the “first deployment of an AI investment assistant in the brokerage industry”.

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    Crypto / Digital Assets

    LCH to Start Clearing BTC Futures and Options in Q4

    By Editors | 14/04/2023

    LCH will clear Bitcoin index futures and options contracts traded on GFO-X, an FCA-regulated digital asset derivatives trading venue.

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    ESG / Sustainability

    Hong Kong Overtakes France in Morningstar’s ‘Sustainability Atlas’

    By ESG Investor | 13/04/2023

    Hong Kong overtook France for 3rd place and Taiwan jumped from 11th place to 5th place in Morningstar’s 2023 Sustainability Atlas.

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    Securities / Derivatives

    Super Funds that Fail Performance Test Must Improve Communications

    By Editors | 13/04/2023

    ASIC reviewed the performance communications of four super funds that failed APRA’s annual performance test for the second time last year.

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    ESG / Sustainability

    Bursa Malaysia, PETRONAS Partner to Drive ESG Adoption

    By Editors | 13/04/2023

    PETRONAS, the largest corporate entity in Malaysia, will participate as an early adopter of Bursa Malaysia’s Centralised Sustainability Intelligence Platform.

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    Securities / Derivatives

    Malaysia to Launch Capital Market Graduate Programme

    By Editors | 13/04/2023

    The programme aims to improve the knowledge and employability of 9,000 university graduates to address a deficit of skilled talent in the capital market.

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    Enforcement

    SFC Fines Ninety One HK Unit for Unlicensed Futures Dealing

    By Editors | 12/04/2023

    Ninety One did not have a Type 2 (dealing in futures contracts) licence, believing it could rely on SFO exemptions to deal in futures contracts.

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    Securities / Derivatives

    SEBI Issues Framework to Improve IPO Price Band Discovery

    By Editors | 12/04/2023

    Stock exchanges will have to compute a common equilibrium price for IPO listings if their call auctions result in equilibrium prices that are too far apart.

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    Enforcement

    CFTC Fines Goldman Sachs for Swaps Conduct Failures

    By Editors | 12/04/2023

    The CFTC said Goldman touted supposed benefits of same-day swap transactions to clients, but not the corresponding costs.

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