International Organization of Securities Commissions

ESG / Sustainability

HK SFC, ICMA Collaborate on Voluntary ESG Code of Conduct

By Sanday Chongo Kabange | 01/11/2023

The code of conduct will improve the reliability of ESG information used by licensed corporations in their investment decisions.

Enforcement

Korea FSS to Probe Illegal Short-selling by Foreign Investment Banks

By Manesh Samtani | 31/10/2023

A special team will launch next week to investigate whether more global investment banks engaged in illegal short-selling, and whether local securities firms helped them.

Fintech / Regtech

AI-based SupTech Can Improve Market Integrity: Study

By Manesh Samtani | 25/10/2023

The study highlights the benefits of using AI-based SupTech to improve market integrity, detect misconduct and forecast crises.

Big Picture

New Paper Sheds Light on CCP Credit Risk Management Practices

By Manesh Samtani | 23/10/2023

The paper from CCP Global provides information on how CCPs conduct ongoing credit monitoring to make informed risk assessments and safeguard market integrity.

Crypto / Digital Assets

Key Takeaways from Australia’s Proposal for Regulating Digital Asset Platforms

By Angela Ang | 23/10/2023

Angela Ang says Australia’s proposal for regulating digital asset platforms meets a high regulatory bar while also supporting innovation.

Crypto / Digital Assets

Singapore Builds Trust in Crypto with New Regulations

By Ranamita Chakraborty | 16/10/2023

Regulation Asia speaks to legal experts on what lies ahead for DPT service providers in Singapore as they navigate the evolving regulatory landscape.

Enforcement

HK Investment Banks Face Naked Short Selling Fines in Korea

By Manesh Samtani | 16/10/2023

The FSS said it uncovered illegal short selling by two global investment banks. The banks were identified by local media as BNP Paribas and HSBC.

Capital / Liquidity

NZ FMA Updates Liquidity Risk Management Guidance for Funds

By Editors | 02/10/2023

The proposed guidance makes clear that effective liquidity risk management is a legal obligation of MIS managers and supervisors.

AML / KYC

Philippine SEC Teams Up With US Counterpart, IOSCO to Tackle Securities-related Crime

By Editors | 15/09/2023

The Philippines SEC is looking to strengthen its enforcement capabilities to protect investors from securities fraud and other forms of investment scams.