SECURITIES / DERIVATIVES

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.

Enforcement

South Korea Charges BNP Paribas for Naked Short Selling – Report

By Editors | 01/11/2024

BNP Paribas and Australian hedge fund Regal Funds Management have reportedly been indicted for violating Korea’s short-selling rules.

Securities / Derivatives

SGX Expands Access to Hong Kong Market with New SDRs

By Nithya Subramanian | 01/11/2024

SGX has launched five Hong Kong SDRs offering investors cost-effective and convenient access to top Hang Seng Index stocks.

Capital / Liquidity

Pressure Builds on Japanese Companies to Unwind Cross-Shareholdings

By Gavin Blair | 01/11/2024

As Japan pushes for unwinding, many large regional banks, have reclassified their holdings as investments, prompting scepticism from regulators.

Securities / Derivatives

Thailand: SEC, SET Sign MoU to Enhance Supervisory Cooperation

By Editors | 31/10/2024

The SEC and SET will collaborate on supervision, market monitoring, enforcement of laws, and issuing regulations.