ADVERTISEMENT
Markets & Infrastructure
Trading & Investment
Korea FSS Prepares for Fallout from Derivatives Losses
By Editors | 07/12/2023
Banks and brokers are expected to have to compensate investors for losses on HSCEI-linked derivatives when the products mature next year.
CBDCs
Korea & Italy to Cooperate on RTGS Systems & CBDC
By Editors | 07/12/2023
Bank of Korea and Bank of Italy will share skills and knowledge and cooperate on technologies that support RTGS systems and CBDC.
Conduct, Culture & Accountability
Japan Brokers Face Fresh Credit Suisse related Lawsuits
By Editors | 06/12/2023
SBI Securities, Rakuten Securities and Monex Securities are accused of not fully explaining the characteristics and risks of Credit Suisse’s ATI debt.
Structural Regulation
PBOC Issues New Rules for Bond Valuation Agencies
By Editors | 06/12/2023
The rules will improve transparency over the selection and use of data sources, valuation methodologies, and conflicts of interest
Market Abuse
Korean Law Firms File Complaint Against HSBC, BNP Paribas – Report
By Editors | 06/12/2023
The complaint calls on Seoul prosecutors to swiftly investigate the banks’ short-selling practices in cooperation with the FSS and Hong Kong authorities.
Trading & Investment
ASIC Warns Online Trading Providers Over Risky Offers
By Sanday Chongo Kabange | 06/12/2023
ASIC found that some online trading providers unfairly influenced consumer decisions and made misleading disclosures during the Covid-19 pandemic.
Trading & Investment
SGX Sets Out Listing Requirements for Active ETFs
By Sanday Chongo Kabange | 06/12/2023
Active ETF managers must publish indicative NAV throughout the trading day, disclose NAV daily, and publish fund performance and portfolio holdings monthly.
Trading & Investment
SEBI Implements Three-Day Timeline for IPO Listings
By Ajoy K Das | 06/12/2023
The new mandatory three-day timeline from IPO close to listing took effect on 1 December, and will benefit both issuers and investors.
Trading & Investment
Australia Consults on Improving Super Fund Retirement Outcomes
By Editors | 06/12/2023
Discussion paper examines how super funds can better support members and deliver better retirement income products and services.
KYC & CDD
SFC Fines Ruifeng Securities for Fund Management Failures
By Sanday Chongo Kabange | 05/12/2023
The penalty was imposed for failures related to fund management activities and account opening procedures.
JOIN OUR NEWSLETTER
An exclusive weekly selection of top stories from the Regulation Asia editorial team.