Nasdaq

Trading & Investment

Nasdaq Scrutinising IPO Applicants from China, Hong Kong

By Mark Johnston | 25/06/2024

Nasdaq officials have reportedly been inquiring into the identities and independence of pre-IPO investors of Chinese and Hong Kong companies seeking to list in the US.

Trading & Investment

Indonesia Stock Exchange to Upgrade Trading Platform

By Editors | 18/06/2024

IDX also announced that it will enhance its market surveillance capabilities and further develop its index business.

Fraud, Scams & Cybercrime

Swift Announces Industry Partnership to Combat Fraud With AI

By Editors | 31/05/2024

FIs will share data with privacy-preserving controls so that AI can be used to detect fraud patterns from a “much richer dataset”.

Cryptocurrency

US SEC Approves Rule Change for Spot Ether ETFs

By Editors | 27/05/2024

The rule change coincides with a deadline for the SEC to decide whether the VanEck Ethereum ETF could proceed.

Clearing & Post-Trade

Last Stretch to T+1: Identifying Potential Bumps for Firms in Asia

By Nellie Dagdag | 30/04/2024

Nellie Dagdag says May 28th is not the end date for T+1 preparations; rather it is an awakening date for appreciation of the benefits of accelerated settlement.

Structural Regulation

SFC Issues Guidance on Offering Hong Kong Funds in UAE

By Mark Johnston | 11/04/2024

The SFC published an information sheet providing guidance on how Hong Kong funds can be offered to investors in the DIFC and the UAE more broadly.

Cloud & Infrastructure

The Compliance Complexity Driving RegTech Demand in APAC

By Ed Probst | 02/04/2024

The growing complexity of regulatory requirements including in the reporting space is prompting FIs to rethink their approach to compliance, says Ed Probst.

Structural Regulation

New Regulatory Framework for Index Providers Takes Effect in India

By Ajoy K Das | 14/03/2024

Index providers that administer significant indices consisting of India-listed securities for use in the Indian market have six months to register.

Market Abuse

Goldman Agrees to Penalties for Trade Surveillance Failures

By Editors | 09/02/2024

Goldman did not include some of the securities it traded in surveillance reports between February 2009 and mid-April 2023.