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Securities / Derivatives
Korea FSS Asks Brokers to Prioritise Consumer Protection
By Editors | 26/11/2021
The FSS is reviewing a decision to penalise nine market-makers, taking into account “self-correcting measures” by individual firms.
Market Infrastructure
ASIC Imposes Licence Conditions on ASX Over 2020 Outage
By Sanday Chongo Kabange | 26/11/2021
ASIC wants market participants to be able to re-route trades to alternative venues such as Chi-X in the event of a future market outage.
Enforcement
FSC Korea Cancels Business Licence of Optimus Asset Management
By Sanday Chongo Kabange | 25/11/2021
The FSC has also fined Optimus and ordered board member removals, over “numerous counts of violations and inappropriate fund management activities”.
Securities / Derivatives
SEBI Relaxes Rule on Daily Fines for Disclosure Violations
By Sanday Chongo Kabange | 25/11/2021
Stock exchanges may choose not to impose daily fines on companies for non-compliance with disclosure obligations if investors are not adversely affected.
Securities / Derivatives
MAS Proposes Amendments to the Business Trusts Act
By Editors | 25/11/2021
Business trusts will have to obtain and maintain information on beneficial ownership and disclose their CEOs’ interests in transactions.
Securities / Derivatives
SEBI Defers Implementation of New Margin Requirements
By Editors | 24/11/2021
New rules that require investors to have 50 percent of their margins in cash to trade in futures and options have been deferred to 28 February.
ESG / Sustainability
Malaysia SC Unveils Initiatives to Boost Corporate Governance
By Editors | 24/11/2021
The SC’s corporate governance strategic priorities for the next three years emphasise ESG fitness, diversity and agility of boards.
Securities / Derivatives
SEBI Issues New Disclosure Rules for Related-Party Transactions
By Sanday Chongo Kabange | 24/11/2021
Listed companies will have to submit information on related-party transactions to stock exchanges every six months and secure shareholder approval.
Fintech / Regtech
India: GIFT City Regulator Wins Approval to Set Up Suptech Fund
By Editors | 24/11/2021
The IFSCA also received approval for a new headquarters building. GIFT City’s new gold bullion exchange is expected to launch in January.
Fintech / Regtech
Blockchain Projects Featured in Beijing Innovation Trials
By Darien Choong | 24/11/2021
Four of the selected projects, out of 51 submitted, are based on blockchain. One selected project seeks to use the digital yuan in securities trading.
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