Securities / Derivatives

Securities / Derivatives

ICE Invites HK Firms to Trade Futures in Singapore

By Editors | 14/05/2023

ICE Clear Singapore received authorisation from the SFC allowing it to clear ICE Futures Singapore trades for Hong Kong-based clearing members.

Securities / Derivatives

IOSCO Issues Guidance on Good Practices For ETFs

By Editors | 14/05/2023

The good practices cover effective product structuring, disclosure, liquidity provision, and volatility control mechanisms.

Enforcement

CFTC Fines HSBC for “Deceptive Trading”, WhatsApp Use

By Editors | 14/05/2023

The CFTC fined three HSBC affiliates a total $75m for manipulative and deceptive trading, spoofing, and supervision and record-keeping failures.

ESG / Sustainability

Philippine SEC Adopts ASEAN SRF Standards

By Sanday Chongo Kabange | 14/05/2023

Rules are established to enable local and ASEAN-member investment companies and CIS operators to offer sustainable and responsible funds locally and across the region.

Securities / Derivatives

Korea Offers Tax Benefits to Investors in High Yield Bond Funds

By Editors | 14/05/2023

The incentive is expected to help boost the demand for mid- and low-credit grade corporate bonds in the market.

ESG / Sustainability

Stewardship Dialogue Must be Ongoing – FCA

By ESG Investor | 13/05/2023

UK regulator seeks evidence of barriers to collaborative engagement, expects consultation responses to feed into review of ‘macro’ stewardship.

Securities / Derivatives

SSE, SZSE Issue Updated Guidelines for Infrastructure REITs

By Mark Johnston | 13/05/2023

The revised guidelines aim to optimise the review process, enhance information disclosures, and promote the infrastructure REITs market.

Securities / Derivatives

FSS Governor Promotes Korea Finance in Southeast Asia Tour

By Mark Johnston | 13/05/2023

FSS chief Lee Bok-hyun met with central bank governors and global investors to showcase the potential of Korea’s financial market.

Enforcement

SEBI Penalises Four Former Officials of Karvy Stock Broking

By Mark Johnston | 12/05/2023

SEBI fined the four individuals a combined INR 19 million over Karvy Stock Broking’s misappropriation of client assets in 2019.