SECURITIES / DERIVATIVES

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    Securities / Derivatives

    SEBI Orders Entities to Cut Ties with Unregistered Financial Advisors

    By Nithya Subramanian | 25/10/2024

    SEBI has directed all registered entities to terminate contracts with unregistered financial advisors within three months.

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    Enforcement

    US SEC Settles Charges with Associate of Short Seller Andrew Left

    By Mark Johnston | 24/10/2024

    The SEC said Ryan Choi misled investors in two tweets and profited from trades in two companies without properly disclosing his trading activity.

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    ESG / Sustainability

    ACMF Endorses V2 of ASEAN Transition Finance Guidance

    By Nithya Subramanian | 24/10/2024

    The Version 2 guidance provides guidance on reference transition pathways, to help companies develop their individual transition plans.

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    Enforcement

    CSRC Punishes Firms Over Investment Banking Internal Controls

    By Manesh Samtani | 24/10/2024

    The CSRC suspended the bond underwriting businesses of two securities firms for 6 months, and imposed administrative measures on a further 11 firms and 43 individuals.

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    Enforcement

    Japan: TSE Official & Judge Under Separate Insider Trading Probes

    By Manesh Samtani | 24/10/2024

    A TSE official leaked information to his relative multiple times. The judge engaged in insider trading while on temporary assignment at the FSA.

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    Securities / Derivatives

    SEBI Extends Insider Trading Regulations to Mutual Funds

    By Nithya Subramanian | 24/10/2024

    Starting next month, AMCs must disclose the details of the designated persons, trustees and immediate relatives, as well as their holdings.

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    Market Infrastructure

    RBI Expands Access to Electronic Trading Platform for G-Secs

    By Mark Johnston | 24/10/2024

    Access to NDS-OM will expand to regional rural banks, local area banks, NBFCs, provident funds, pension funds, and regulated MIIs.

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    Securities / Derivatives

    Vietnam to Ease Account Opening Process for Foreign Investors

    By Nithya Subramanian | 24/10/2024

    The SBV is drafting a circular to simplify the opening and management of Vietnamese dong-denominated accounts for foreign investors.

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    Market Infrastructure

    SIX Signs Cooperation MoU With Hong Kong’s CMU OmniClear

    By Manesh Samtani | 24/10/2024

    SIX and the HKMA subsidiary will cooperate to unlock further cross-border investment opportunities between Switzerland and Hong Kong.

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    Fintech / Regtech

    SFC to Consider Recommendations on Streamlining Workflows

    By Manesh Samtani | 24/10/2024

    In response to the latest report from the Process Review Panel, the SFC said it would explore expanding WINGS to the Corporate Finance Division.

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