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Securities / Derivatives
Securities / Derivatives
Korea FSC Unveils New Risk Rating System for Investment Products
By Editors | 29/01/2023
Due for implementation in Q4, the new system will apply an industry-wide common standard to investment product risk ratings to improve reliability and comparability for investors.
Enforcement
Korea FSC Issues Guidelines on Employee Personal Trading
By Editors | 29/01/2023
Financial firms should strengthen their internal controls and pre-trade checks to ensure executives and employees are not using “borrowed” accounts for personal trading.
ESG / Sustainability
ESMA Under Pressure on ESG Fund Labelling Rules
By ESG Investor | 27/01/2023
European financial regulator faces up to criticisms of its plans for ESG label rules, with concerns focusing on the EU’s SFDR.
Securities / Derivatives
US SEC to Prohibit Conflicts of Interest in Securitisation Transactions
By Editors | 27/01/2023
The rule, first proposed in 2011 but never finalised, will prohibit firms participating in asset-backed securities from betting against investors in those securities.
Enforcement
Morgan Stanley Fines Staff Over Use of Messaging Platforms
By Editors | 27/01/2023
The penalties ranged from several thousand dollars for some staff to more than USD 1 million for others, cut from past bonuses or future pay.
Capital / Liquidity
RBI Proposed New Securitisation Framework for Stressed Assets
By Editors | 27/01/2023
Banks would be able to sell stressed assets to special purpose entities that issue securitisation notes for investors to buy.
Crypto / Digital Assets
ISDA Launches Standard Definitions for Digital Asset Derivatives
By Editors | 27/01/2023
ISDA says the definitions set clear provisions for execution and settlement and will help to reduce credit and market risk in digital asset trading.
Enforcement
SEBI Targets Front-running in Nationwide Raids
By Editors | 27/01/2023
Individuals would take positions on certain stocks prior to so-called ‘market experts’ going on live television to recommend those same stocks.
ESG / Sustainability
India Issues First Ever Sovereign Green Bonds
By Editors | 26/01/2023
India raised almost $1bn that it will use for investments in renewable energy and climate change adaptation, among other areas.
Enforcement
APRA Imposes Licence Conditions on Super Fund Trustee
By Editors | 25/01/2023
In APRA’s 2022 ‘MySuper Heatmap’, only one other super fund trustee charged more in administration fees than Diversa Trustees’ product.
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