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Big Picture
Exchanges Can Help Minimise Broker-Dealer Operational Risk
By Manesh Samtani | 13/09/2021
A paper by Citadel Securities, NYSE, Nasdaq, MIAX, MEMX, and BOX says exchanges can provide an additional layer of protection on top of broker-dealers’ own risk controls.
Market Infrastructure
ASX November Outage Caused By Hasty Trading System Launch
By Sanday Chongo Kabange | 23/08/2021
An independent review commissioned by ASIC and RBA found that ASX’s upgraded equity trading system was not ready to go-live.
ESG / Sustainability
SGX to Consult on Sustainability Reporting Enhancements “Soon”
By Manesh Samtani | 10/08/2021
The consultation will seek views on incorporating the TCFD recommendations, specific metrics to improve data comparability, assurance requirements, and board diversity disclosures.
ESG / Sustainability
US SEC Approves Nasdaq Proposal on Board Diversity
By Manesh Samtani | 08/08/2021
The new rules will require listed companies to meet race and gender targets, or explain in writing why they have failed to do so.
Crypto / Digital Assets
Singapore’s CTX to Debut Cross-border Trading of China Carbon Credits
By Sanday Chongo Kabange | 27/07/2021
Cyberdyne Tech Exchange said its carbon neutrality tokens, or CNTs, would pave the way for carbon credits to be transferred across international borders.
Securities / Derivatives
China to Tighten Oversight of Overseas Listings
By Sanday Chongo Kabange | 08/07/2021
Chinese authorities will step up supervision of companies that list overseas to improve regulation of cross-border data flows and security.
Securities / Derivatives
SEBI Planning Dedicated Framework For SPACs – Report
By Sanday Chongo Kabange | 21/06/2021
To allow SPACs in India, SEBI would have to either introduce a separate law or amend current regulations.
ESG / Sustainability
SGX, Nasdaq Partner to Enhance ESG Visibility of APAC Issuers
By Editors | 15/06/2021
The addition of SGX data to Nasdaq’s sustainable bond network will enhance transparency of green, social and sustainability bonds in Asia Pacific.
AML / KYC
US Court Lifts Investment Ban Against Luokung Technology Corp
By Editors | 10/05/2021
Separately, China Mobile, China Unicom and China Telecom have lost their appeals of a NYSE decision to delist their shares.
Securities / Derivatives
China-Japan ETF Connect Sees Launch of New Funds
By Ranamita Chakraborty | 19/04/2021
Daiwa Asset Management has listed two ETFs on the TSE while ICBC Credit Suisse Asset Management has listed one ETF on the SZSE.
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