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Enforcement
FSC Korea Fines Ten Foreign Firms for Short Selling Violations
By Editors | 28/02/2021
The FSC did not name the firms that were penalised, but said the highest fine was KRW 180 million against a firm that committed four violations.
Enforcement
SFC, FRC to Enhance Regulatory Cooperation in Capital Markets
By Editors | 25/02/2021
Collaboration will be key to combat persistent problems with false or misleading financial statements and other corporate misconduct, said SFC Chairman Tim Lui.
Enforcement
SFC Fines Asset Manager for Short Position Reporting Errors
By Editors | 23/02/2021
The SFC found that 7,814 short positions held by collective investment schemes managed by Brilliance Asset Management were either misstated or omitted.
Securities / Derivatives
HK, Singapore on Alert for Social Media Fuelled Manipulation
By Manesh Samtani | 19/02/2021
The SFC has issued restriction notices against 54 more trading accounts. Singapore regulators are guarding against “pump and dump” and “short and distort” scenarios.
Enforcement
SFC Freezes Brokerage Accounts Linked to Social Media Scam
By Editors | 11/02/2021
One of the SFC’s top priorities for the year is to crack down on ramp and dump scams and other types of market manipulation conducted through social media.
Securities / Derivatives
HKEX Appoints JP Morgan’s Nicolas Aguzin as New CEO
By Manesh Samtani | 09/02/2021
Aguzin is expected to help HKEX continue to build its competitiveness and support the ongoing growth and development of Hong Kong’s financial markets.
Securities / Derivatives
SFC Sets Out Conduct Standards Expected in Capital Raisings
By Editors | 08/02/2021
The proposals establish the standards of conduct expected of intermediaries participating in bookbuilding, pricing, allocation and placing activities.
AML / KYC
Greater Bay Regulators Sign MoU on Wealth Management Connect
By Manesh Samtani | 07/02/2021
The regulators agree to issue guidance to banks on product due diligence, investor protection, AML/CFT requirements and personal data protection, among other areas.
Securities / Derivatives
Asian Regulators Issue Warnings as GameStop Remains in Focus
By Manesh Samtani | 04/02/2021
Authorities in Hong Kong, Singapore, Korea and Malaysia are among those issuing warnings of possible investor losses as heightened volatility continues.
HK Regulators Ask Bankers to Explain Reasons for Departing City
By Editors | 27/01/2021
Executives who have relocated to Singapore or Tokyo have reportedly received phone calls from Hong Kong government agencies and regulators seeking explanations for the decisions.
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