Nasdaq

Anti-Money Laundering

Regulation Asia Awards for Excellence 2022 – Results Announcement

By Editors | 23/11/2022

Regulation Asia held its fifth annual Awards ceremony on 22 November 2022. Here we explain our methodology and announce the winners for the year.

Conduct, Culture & Accountability

Nasdaq 2022 Global Compliance Survey

By Nasdaq | 02/11/2022

In the latest iteration of Nasdaq’s Global Compliance Survey (GCS), released annually since 2015, feedback was gathered from financial industry compliance professionals to provide both a point in time analysis of current compliance and surveillance related issues, as well as year over year trend analysis of the perceptions and state of surveillance globally.

Market Abuse

Nasdaq Halts At Least Four Chinese IPOs – Report

By Editors | 24/10/2022

Nasdaq will reportedly not allow certain IPOs to proceed until it can address concerns about large stock rallies seen by some Chinese issuers.

Custody & Infrastructure

Nasdaq Establishes New Digital Assets Business

By Editors | 21/09/2022

The technology that underpins the digital asset ecosystem has the potential to transform markets over the long-term, says Nasdaq’s Adena Friedman.

Market Risk

Korean Regulator Warns of Risks from Leveraged ETFs

By Editors | 03/09/2022

Three of the top ten overseas products purchased by Korean retail investors in H1 were highly leveraged ETPs which have lost 60 percent or more this year.

Climate Risk

Listed Equities’ Carbon Well Exceeds Paris Target

By ESG Investor | 26/06/2022

Stock exchanges’ listing rules are putting investors at risk, a new report from think tank Carbon Tracker finds.

Cryptocurrency

Nasdaq Publishes Guide on Global Crypto Regulation

By Editors | 14/04/2022

Nasdaq has published a summary of laws and regulations governing the trading of crypto assets around the world.

Structural Regulation

Speculation of Deal on Chinese Audits ‘Premature’, says PCAOB

By Editors | 27/03/2022

The PCAOB said it is unclear whether full access to relevant audit documentation will be granted, and that any agreement would only be a “first step”.

Structural Regulation

TSE Publishes Market Segment Selections by Listed Companies

By Manesh Samtani | 12/01/2022

To prepare for the Tokyo Stock Exchange’s reorganisation in April, listed companies had to select their new market segments.