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Markets & Infrastructure
Market Abuse
ASIC Wins ‘Landmark’ Case Over ANZ’s 2015 Share Placement
By Editors | 15/10/2023
The Federal Court said ANZ breached the law by failing to disclose that its underwriters took up nearly a third of its 2015 share placement.
Clearing & Post-Trade
ESMA Proposes Fee Changes for Tier 1 Third Country CCPs
By Editors | 15/10/2023
Tier 1 third-country CCPs would be allocated annual fees via a weighting factor which depends on global turnover.
Trading & Investment
REITs Connectivity Will Boost Mainland and Hong Kong: HKEX
By Sanday Chongo Kabange | 13/10/2023
Expanding market connectivity to include REITs will increase Hong Kong’s attractiveness and promote the internationalisation of the Mainland capital market.
Fraud, Scams & Cybercrime
Korea FSS Vows to Punish Daegu Bank for Opening Fake Accounts
By Sanday Chongo Kabange | 13/10/2023
FSS inspections found that 1,662 securities accounts were illegally opened by 114 employees across 56 Daegu Bank branches.
DeFi & Web3
ESMA Publishes Two Papers on DeFi Risks and Categorisation
By Mark Johnston | 13/10/2023
One paper analyses the main features, benefits and challenges of DeFi. The other proposes a methodology to classify smart contracts.
Trading & Investment
LME, SHFE to Collaborate on Product Innovation
By Editors | 13/10/2023
The exchanges will work together in product innovation to betterThe exchanges will work together to “better serve international participants in risk management and price discovery”. serve international participants in risk management and price discovery.
Conduct, Culture & Accountability
UK FCA Seeks to Fine & Ban Former CEO of Barclays
By Editors | 13/10/2023
The FCA said James Staley “recklessly approved” a letter to the FCA containing misleading statements about his relationship with Jeffrey Epstein.
Payments & Settlements
Australia to Regulate Digital Payment Providers
By Editors | 12/10/2023
The RBA will regulate new and emerging payments systems the same way as credit cards, EFTPOS and other transactions.
Trading & Investment
China State Fund Starts Moving to Boost Stock Market
By Editors | 12/10/2023
State-controlled Central Huijin Investment increased its stake in China’s big four banks and plans to continue buying shares for the next six months.
Structural Regulation
China Restricts Overseas Trading by Domestic Investors
By Editors | 12/10/2023
Cross-border securities broking, securities lending, fund sales and investment consulting for domestic investors are all prohibited.
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