CommSec and AUSIEX demonstrated "widespread, systemic compliance failures" over a nine-year period, said ASIC deputy chair Sarah Court.
October 28, 2022The revisions follow rule changes made last year to prevent convertible bonds from being used to unfairly dilute small shareholders.
September 9, 2022HKEX launched of MSCI China A50 Connect Index Derivatives Warrants from four issuers - BNP Paribas, Goldman Sachs, JP Morgan, and Morgan Stanley.
August 8, 2022HKEX will encourage investment banks to issue structured products such as derivative warrants based on the MSCI A50 index.
June 21, 2022Having three different rulebooks for investment products opens the door to inconsistent treatment, rule arbitrage, and confusion for issuers and investors.
April 29, 2022The firm made errors when assigning BCANs to clients. It also oversold China securities due to deficiencies in its order management and algorithmic trading systems.
March 4, 2022Regulatory safeguards and educational efforts mounted by SGX should provide "adequate protection for retail investors and enable them to assess the risk-return trade-offs".
February 21, 2022Temasek-backed Vertex Venture Holdings and Tikehau Capital have received eligibility-to-list letters from SGX following their SPAC listing applications.
December 30, 2021The 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.
December 20, 2021A SPAC has to raise at least HKD 1 billion from its initial offering. Subscription and trading will be restricted to professional investors.
September 17, 2021