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SECURITIES / DERIVATIVES
Securities / Derivatives
BSEC Forms Committee to Explore Move to T+1 Settlement
By Editors | 04/11/2024
A move to T+1 is expected to benefit investors by increasing market liquidity and trading turnover while reducing settlement risk and broker defaults.
Enforcement
Japan FSA Fines Nomura Securities for JGB Futures Manipulation
By Editors | 03/11/2024
Several executives also agreed to a two-month pay cut. It was separately reported that a former Nomura Securities employee was arrested on suspicion of robbery and attempted murder.
Securities / Derivatives
Hong Kong Lists First Company via De-SPAC Transaction
By Editors | 03/11/2024
HK Acquisition Corp completed a merger with e-commerce solutions provider Synagistics, making it the first de-SPAC transaction completed in Hong Kong.
Securities / Derivatives
SFC, CSRC Announce First Batch of Brokers Eligible for WMC Scheme
By Manesh Samtani | 02/11/2024
The list includes the likes of CICC, China Merchants Securities, CITIC Securities, Guotai Junan Securities, and Huatai Securities.
Enforcement
CSRC Penalises CICC Over Sponsor Due Diligence Failures
By Editors | 02/11/2024
CICC was fined for failure to perform due diligence as the IPO sponsor of S2C Limited, which was found to have inflated its financial results.
Enforcement
Former Dealer Jailed for Manipulating Singapore-listed Stocks
By Editors | 02/11/2024
The former dealer spoof the market 215 times between August 2020 and March 2021, resulting in over SGD 250,000 in illicit gains.
Enforcement
FSS Probing Mirae Asset Securities in Korea Zinc Case
By Editors | 02/11/2024
Mirae was involved in Korea Zinc’s recent share buyback and is also the underwriter of rights issue that was announced shortly afterwards.
Market Infrastructure
China Eases Rules for Foreign Investment in Domestic Stocks
By Manesh Samtani | 02/11/2024
China lowered the asset requirement, shareholding ratio and lock-up period for foreign strategic investors in domestic stocks.
Market Infrastructure
Nasdaq, Cboe Challenge SEC Amendments to Reg-NMS
By Thisanka Siripala | 01/11/2024
The amendments lower the cap on fees that exchanges can charge brokers for accessing the best displayed prices.
Securities / Derivatives
SFC Sets May 2025 Effective Date for New Market Sounding Guidelines
By Manesh Samtani | 01/11/2024
The SFC has narrowed the scope of the market sounding guidelines and clarified some requirements in response to market feedback.
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