SECURITIES / DERIVATIVES

AML / KYC

SEBI Simplifies Registration Process for Certain FPI Applicants

By Nithya Subramanian | 18/11/2024

Eligible FPIs can submit an abridged application form, reducing duplication and streamlining the registration process.

Securities / Derivatives

LME Clear Announces Reforms Tripling Member Capital Requirements

By Editors | 15/11/2024

LME Clear said the proposal would better align member capital requirements with those of peer CCPs and reassure market stakeholders of its markets resilience.

Securities / Derivatives

HKEX Successfully Completes First Severe Weather Trading Day

By Sanday Chongo Kabange | 15/11/2024

HKEX confirmed that all trading, settlement and clearing operations in its securities and derivatives markets functioned normally.

ESG / Sustainability

IOSCO Publishes Report on Transition Plans Disclosures

By ESG Investor | 15/11/2024

The report explores how transition plan disclosures can support investor protection and market integrity, and identifies actions for securities regulators.

Enforcement

SFC Commences Additional MMT Proceedings in Ding Yi Feng Case

By Sanday Chongo Kabange | 15/11/2024

Proceedings commenced in March involve manipulation that occurred between March and September 2018. The new proceedings involve manipulation from between October 2018 and March 2019.

Fintech / Regtech

HK SFC Sets Expectations on Use of GenAI Language Models

By Manesh Samtani | 14/11/2024

Licensed corporations intending to adopt GenAI language models in “high-risk use cases” are asked to discuss their plans with the SFC first.

Securities / Derivatives

Malaysia Enhances Investor Access to Market Information

By Nithya Subramanian | 13/11/2024

A new online platform was launched to help local and international investors access key market information and government agencies.

Enforcement

Australia Jails Ex-Investment Manager Over False Performance Reports

By Sanday Chongo Kabange | 13/11/2024

The forged portfolio performance verification reports falsely verified or claimed a history of successful investment returns.

AML / KYC

Korea Introducing New Disclosure Rules to Prevent Embezzlement

By Editors | 12/11/2024

Listed companies and large unlisted companies will have to make annual disclosures on the control measures they use to prevent and detect misappropriation of funds.