Markets & Infrastructure

Fraud, Scams & Cybercrime

UK FCA Faces Criticism Over Consumer Protection Shortfalls

By Thisanka Siripala | 29/11/2024

A parliamentary group released a report based on testimony from 174 respondents collected over two and a half years.

Conduct, Culture & Accountability

FCA Revises Whistleblowing Policies Following Independent Review

By Thisanka Siripala | 28/11/2024

The updated policies clarify the channels available for raising concerns, extend applicability to former employees, and outline expectations during the grievance process.

Trading & Investment

HKIC Invites Firms to Help Manage New CIES Investment Portfolio

By Sanday Chongo Kabange | 28/11/2024

Eligible fund managers have until 10 December to submit their proposals on how to achieve the objectives of the CIES investment portfolio.

Clearing & Post-Trade

ASX Targets 2029 Delivery for CHESS Replacement Project

By Sanday Chongo Kabange | 28/11/2024

Release 1 (clearing services) will be delivered by 2026 and Release 2 (settlement and subregister services) in 2029.

PEPs & Sanctions

US Imposes New Controls on Exports to Pakistan

By Editors | 27/11/2024

The new controls are being imposed on six categories of items being sought by entities on the Entity List for “regional stability reasons”.

Conduct, Culture & Accountability

APRA, ASIC Finds “Possible Gaps” in FAR Implementation by Banks

By Sanday Chongo Kabange | 27/11/2024

APRA and ASIC identified possible gaps in registration and notification lodgements made since the FAR commenced for the banking industry in March.

Trading & Investment

SEBI Mandates Mark-to-Market Valuation for Mutual Fund Repo Transactions

By Editors | 27/11/2024

Mutual fund investments in repo transactions with tenors up to 30 days shall be valued on a mark-to-market basis.

Market Abuse

Japan Supreme Court Issues Rare Directive on Insider Trading

By Thisanka Siripala | 27/11/2024

The directive is a response to a case involving a judge who allegedly used confidential information obtained through his role to profit from stock trading.

Trading & Investment

Korea Releases Revision Bills on Measures to Prevent Naked Short-selling

By Editors | 27/11/2024

The revision bills specify details regarding the repayment period for borrowed stocks, internal control standards, and securities firm obligations, among other measures.