Nasdaq

Market Infrastructure

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.

Securities / Derivatives

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.

Fintech / Regtech

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.

Securities / Derivatives

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.

Securities / Derivatives

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.

Crypto / Digital Assets

SFC Grants Licence Upgrade Allowing Tiger Brokers to Offer Crypto

By Editors | 26/01/2024

Tiger Brokers said it is one of the first mainstream online brokerage firms in Hong Kong to receive approval for such a licence upgrade.

Securities / Derivatives

Philippines Lists Maiden Sukuk Issuance on Nasdaq Dubai

By Nithya Subramanian | 13/12/2023

Benjamin Diokno said the enhances the Philippine Islamic finance market and strengthens economic ties with the Middle East.

Enforcement

OFAC Announces Settlement with Nasdaq for Sanctions Violations

By Editors | 10/12/2023

Nasdaq’s Armenian subsidiary committed 151 apparent violations of sanctions on Iran before the violations were self-reported in 2014.

Securities / Derivatives

TAIFEX Partners CME Group, Nasdaq to Launch Semiconductor Futures

By Editors | 22/11/2023

New contract will make TAIFEX the only non-US exchange to list futures for four major US equity indexes.