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SECURITIES / DERIVATIVES
Enforcement
FSC Korea Refers First Finfluencer Cases for Prosecution
By Editors | 09/12/2024
The FSC said the finfluencers pre-purchased stocks and then recommended and sold those stocks to their subscribers to make unfair profits.
Market Infrastructure
SEBI Proposes to Introduce Closing Auction Session for Indian Stocks
By Editors | 09/12/2024
SEBI proposes to replace the VWAP mechanism with a 15-minute CAS session to determine the closing prices of stocks.
Securities / Derivatives
SEBI to Require Central Storage of IPO Due Diligence Documents
By Editors | 08/12/2024
SEBI said the stock exchanges have set up a platform which merchant banks must use to store their IPO due diligence documents.
Crypto / Digital Assets
Korean Securities Firms Asked to Prepare for Market Shocks
By Manesh Samtani | 08/12/2024
BOK promised “unlimited” liquidity. FSS met with 36 securities firms. FSC activated stabilisation funds. VASP operations impacted.
Capital / Liquidity
FSB Outlines 2024 Progress on Resolution-related Work
By Manesh Samtani | 07/12/2024
In 2024, a new global standard for CCP resolution was finalised. The FSB has published its first list of insurers subject to resolution planning standards.
Capital / Liquidity
EACH Calls for Global Consistency in CCP Regulation
By Mark Johnston | 05/12/2024
The European Association of CCP Clearing Houses released a manifesto offering recommendations to enhance capital market efficiency and resilience.
Enforcement
Barclays Agrees to Settle Class Action Over Securities Over-issuances
By Thisanka Siripala | 05/12/2024
Barclays agreed to pay $19.5mn to settle claims that shareholders lost money because they relied on the bank’s assurances that it had strong internal controls.
ESG / Sustainability
MAS Issues Guidance for ESG Funds on Good Disclosure Practices
By Nithya Subramanian | 05/12/2024
The information paper aims to promote clear disclosures to help retail investors understand the key features and risks of ESG funds.
Market Infrastructure
CME Group Launches Beta Term €STR Reference Rates
By Editors | 05/12/2024
The beta reference rates are based on a waterfall methodology that builds on €STR futures and OTC swap market data.
Market Infrastructure
FSB Plenary Meets in Hong Kong to Discuss Financial Stability Issues
By Editors | 05/12/2024
The Plenary reviewed policy work on climate-related financial risks, crypto-assets and global stablecoins, cross-border payments, and NBFI.
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