Nasdaq

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    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.

    Securities / Derivatives

    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.

    Crypto / Digital Assets

    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.

    Securities / Derivatives

    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.

    ESG / Sustainability

    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.

    Crypto / Digital Assets

    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.

    Securities / Derivatives

    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”.

    Market Infrastructure

    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.

    Securities / Derivatives

    US Bourses Explore IPOs from SE Asia Amid Chinese Withdrawal

    By Sanday Chongo Kabange | 24/12/2021

    Continued regulatory scrutiny from Chinese and US regulators has reportedly compelled US exchanges to explore IPO hopefuls from India, Indonesia, Vietnam and Malaysia.

    Securities / Derivatives

    HKEX Finalises Framework for SPAC Listings in Hong Kong

    By Manesh Samtani | 20/12/2021

    The new framework takes effect on 1 January. A SPAC’s securities must be distributed to at least 20 institutional professional investors, down from 30 proposed during consultation.

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