Trading & Investment

Coverage of regulatory developments, market trends, and operational standards across asset classes, financial products, and trading venues.

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.

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.

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.

Structural Regulation

UK FCA Consults on Regulatory Approach for Overseas Funds

By Editors | 05/12/2023

The new regime will provide a “streamlined process” for overseas funds to market to UK retail customers if the government finds a jurisdiction equivalent.

Climate Risk

CFTC Proposes Standards for Carbon Credit Derivatives

By Editors | 05/12/2023

The guidance adopts standards from the ICVCM’s Core Carbon Principles and introduces quality standards for carbon offsets tied to derivative contracts.

Cryptocurrency

Cristiano Ronaldo Facing Class Action Over Binance Endorsement

By Editors | 04/12/2023

The $1bn lawsuit claims the endorsement led the plaintiffs to make loss-making investments, including in “CR7” branded NFTs.

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