Securities / Derivatives

Crypto / Digital Assets

US SEC Files Suit Against Crypto Entities Over ICO Sale

By Mark Johnston | 22/08/2022

Blockchain firm Dragonchain raised about $16.5mn without registering its token sales as securities offerings.

Securities / Derivatives

Taiwan FSC Allows Banks to Offer Wider Range of Offshore Funds

By Editors | 22/08/2022

Banks can offer high net worth clients access to uncertified securities investment trust funds from other jurisdictions.

Enforcement

SFC Probes AMTD Over Past Underwriting Deals – Reports

By Editors | 22/08/2022

The full scope of the probe into AMTD Group and its current status are “unclear”, but it is said to be related to previous underwriting deals.

ESG / Sustainability

Bursa Malaysia Issues Investor Relations Guidance for PLCs

By Editors | 22/08/2022

The new guidebook will help listed companies in their engagement with stakeholders and investor relations, Bursa Malaysia said.

Securities / Derivatives

Hong Kong Tracker Fund to Add RMB Trading Counter

By Editors | 22/08/2022

The RMB counter will trade only in the secondary market, starting from 19 September, when Hang Seng Investment Management takes over as manager.

ESG / Sustainability

JPX Starts Disclosing Daily Data on Green Bond Projects

By Editors | 21/08/2022

A new “Green Tracking Hub” is disclosing the amount of power generated by renewable energy projects financed by JPX’s first digitally tracked green bond.

Enforcement

MAS Penalises Former UOBKH Representative for False Trading

By Editors | 19/08/2022

The former UOB Kay Hian trading representative committed false and unauthorised trading for a client who was himself sentenced in March 2021.

Securities / Derivatives

SEBI Loosens Overseas Investment Rules for AIFs, VC Funds

By Editors | 18/08/2022

Alternative investment and venture capital funds can invest in overseas companies even if they do not have an ‘Indian connection’.

AML / KYC

SEC Charges 18 for Manipulation Using Hacked Trading Accounts

By Editors | 18/08/2022

The hackers broke into at least 31 US retail brokerage accounts to buy stock to drive up prices and exit their positions at artificially high prices.