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Securities / Derivatives
Enforcement
Barclays to Close 21 ETN Products Following Over-issuance Incident
By Mark Johnston | 22/04/2023
Barclays will close nearly half of its US-listed ETNs. The bank was penalised by the SEC last year for over-issuing $17.7bn in securities.
Crypto / Digital Assets
US SEC Issues Guidance on Providing Advice to Retail Investors
By Sanday Chongo Kabange | 21/04/2023
Finance professionals should apply “heightened scrutiny” when recommending or advising on complex and risky products, such as crypto asset securities.
Big Picture
ISLA Details Benefits of Tokenisation in Securities Financing Market
By Editors | 21/04/2023
The paper discusses how tokenisation of assets can open up multiple opportunities for the securities financing industry.
ESG / Sustainability
Malaysia SC Invites Firms to Review and Improve SRI Taxonomy
By Sanday Chongo Kabange | 21/04/2023
Interested parties are asked to participate in the ongoing development of the SRI Taxonomy and propose ways to align it with the ASEAN Taxonomy.
Securities / Derivatives
Singapore Investors Prepare to Sue Over Credit Suisse AT1 Bond Losses
By Editors | 21/04/2023
Lawyers for Singapore investors are preparing to argue that the Swiss government’s decision to write off Credit Suisse AT1 bonds violated a free trade agreement.
Enforcement
CSRC Investigating GF Securities for Underwriting Failures
By Editors | 21/04/2023
The investigation is related to a 2018 share issuance for which Hong Kong-listed GF Securities served as an underwriter.
Market Infrastructure
CFETS Invites Foreign Investors to Apply for Membership
By Editors | 20/04/2023
Foreign institutional and central bank-like investors investing in China’s bond market can apply to become CFETS members and participate in the FX market.
Enforcement
Dubai: KPMG Ordered to Pay Investors Over Audit Violations
By Editors | 20/04/2023
The court said KPMG Lower Gulf committed “many violations” of international auditing standards and ordered the firm to pay investors $231mn.
Crypto / Digital Assets
SEC Chair Gensler Defends Regulatory, Anti-Crypto Agenda
By Manesh Samtani | 19/04/2023
Regulation by enforcement is not sufficient nor sustainable, House Financial Services Committee chair Patrick McHenry told SEC chair Gary Gensler.
ESG / Sustainability
Climate Bonds Initiative Offers Firm-level Certification for SLBs
By ESG Investor | 19/04/2023
The expansion looks to recognise “appropriate ambition” on transition and bring all sectors “into the fold”.
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