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Securities / Derivatives
Enforcement
ASIC Sets Out Strategic Priorities in New Corporate Plan
By Sanday Chongo Kabange | 26/08/2024
ASIC is taking aim at Australia’s private markets, which Chair Joe Longo said present an outsized risk to market integrity.
Securities / Derivatives
SEBI Proposes Revisions to Boost Appeal of Rights Issues
By Ajoy K Das | 26/08/2024
SEBI aims to make rights issues the preferred route for additional fundraising by listed companies, compared to QIPs and preferential allotments.
ESG / Sustainability
ASIC Publishes Findings from Anti-Greenwashing Surveillance
By Sanday Chongo Kabange | 26/08/2024
ASIC published findings, recommendations and good practice examples from its surveillance activities during the financial year 2023–2024.
Securities / Derivatives
Korea’s Corporate Value-Up Plan Facing Low Participation
By Mark Johnston | 26/08/2024
Companies are reportedly being cautious due to concerns about the economic environment and uncertainty about whether the tax incentives will pass.
Securities / Derivatives
SEBI Proposes to Allow Self-attestation of Certain Documents
By Ajoy K Das | 25/08/2024
SEBI proposes to stop requiring notarisation or certification for certain documents as this raises the cost and compliance burden for businesses and individuals.
Securities / Derivatives
BSEC Launches Probe into Management of Stock Exchanges
By Ajoy K Das | 23/08/2024
BSEC established investigative committees to audit the management function of the Dhaka and Chittagong stock exchanges.
AML / KYC
Hong Kong, Macao Authorities Arrest Seven in Joint Operation
By Sanday Chongo Kabange | 23/08/2024
The SFC, ICAC and the Macao Judiciary Police arrested seven individuals for suspected fraud, including the chairman of a listed company.
Securities / Derivatives
US SEC Fines Transfer Agent for Failure to Guard Against Cyber Fraud
By Editors | 23/08/2024
The transfer agent’s failures led to more than $6.6mn in losses from two separate cyber intrusions, one of which involved Hong Kong bank accounts.
ESG / Sustainability
Taiwan FSC to Simplify Requirements for FIs’ Annual Reports
By Editors | 22/08/2024
The proposed changes aim to simplify the process of annual report preparation and promote gender diversity among the boards of financial institutions.
Market Infrastructure
HK Securities Firms Set to be Added to Wealth Connect Scheme
By Editors | 22/08/2024
Ten securities companies including China CITIC Securities, CICC, Huatai Securities and GF Securities will initially be added to the scheme.
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