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Trading & Investment
Coverage of regulatory developments, market trends, and operational standards across asset classes, financial products, and trading venues.
Structural Regulation
Taiwan Central Bank Doesn’t Want to Run Sovereign Wealth Fund
By Editors | 11/05/2023
Lawmakers proposed to give the central bank powers to operate a sovereign wealth fund using foreign exchange reserves.
Structural Regulation
IOSCO Publishes Guidance on Enhancing SPAC Regulations
By Editors | 10/05/2023
The report focuses on addressing dilution risk, the protection of retail investors, and the “significant backlog” of SPACs seeking to avoid liquidation.
Trading & Investment
Hong Kong Passes Bill to Grant Tax Incentives to Family Offices
By Editors | 10/05/2023
The tax concession will be applicable to any years of assessment commencing on or after 1 April 2022.
Structural Regulation
International Court Reduces Compensation Korea Has to Pay Loan Star
By Editors | 09/05/2023
The Korean government would still have to pay $216mn to US private equity firm Lone Star, despite the reduction.
Structural Regulation
FSC Korea to Lower Regulatory Burden for Firms Seeking M&A
By Sanday Chongo Kabange | 09/05/2023
The FSC will ease requirements on potential buyers to prove their financial capacity and set up facilities to help finance M&A activity.
Market Abuse
US Authorities Investigating Short Sales of Banking Stocks
By Editors | 09/05/2023
SEC chair Gary Gensler said the agency would go after any form of misconduct that might threaten investors or markets.
Trading & Investment
HSBC Strikes Deal to Buy Out China Fund Management JV
By Editors | 09/05/2023
HSBC has reportedly signed an agreement to raise its stake in the joint venture from 49 to 100 percent, subject to regulatory approval and other conditions.
Market Abuse
Goldman Under Probe for Possible Role in SVB Collapse
By Editors | 05/05/2023
Goldman Sachs said it is cooperating with governmental bodies in connection with their investigations and inquiries into SVB.
Market Abuse
ASIC Penalises Stockbroker for Mishandling Stock Buyback
By Editors | 04/05/2023
During an on-market buyback, Ord Minnett executed a pre-arranged transaction to buy shares at above-market prices, giving “preferential treatment” to the selling client.
Resolution & Recovery
More Credit Suisse AT1 Bondholders Sue FINMA
By Editors | 04/05/2023
The suit means that investors representing up to a third of the $17bn in AT1 bonds issued by Credit Suisse have now launched legal action.
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