Securities / Derivatives

    Enforcement

    FCA Seeks £50m Penalty from Barclays for 2008 Deals

    By Editors | 24/10/2022

    Barclays did not disclose payments made to Qatari entities for their participation in two capital raisings during the GFC in 2008.

    Securities / Derivatives

    HKMA Issues New Guidance on Investment Product Sales

    By Editors | 24/10/2022

    The new guidance covers investment product suitability, concentration risk assessments, and the sale of loss-absorption products.

    Securities / Derivatives

    Korea to Buy Up Corporate Debt to Stabilise Markets

    By Editors | 24/10/2022

    Korea’s government has pledged KRW 50 trillion to buy up corporate debt, defer the return to 100 percent LCR, and supply liquidity to securities firms.

    Securities / Derivatives

    APRA Commences New Statistical Publication on Super Sector

    By Editors | 24/10/2022

    The published data for the first time includes information on the number and types of products and investment options available in the superannuation industry.

    Market Infrastructure

    Osaka Exchange Prepares to Launch TONA Futures Contracts

    By Editors | 24/10/2022

    Osaka Exchange will launch three-month TONA futures on 29 May 2023, the same day as its launch of Nikkei 225 micro futures and Nikkei 225 mini options contracts.

    Enforcement

    NZ FMA Issues Warnings Against Property Investment Firms

    By Editors | 23/10/2022

    The firms misused the wholesale investor exclusion to extend offers to people with little or no investment experience.

    Securities / Derivatives

    Thailand Futures Exchange to Launch New FX Contracts

    By Editors | 21/10/2022

    Currently, TFEX only offers USD Futures. From 31 October, it will launch trading in EUR/USD Futures and USD/JYP Futures.

    Securities / Derivatives

    Philippines: Funds Allowed More Freedom to Trade BSP Securities

    By Editors | 21/10/2022

    The central bank has relaxed restrictions on secondary market trading of BSP Securities by UITFs with foreign participation.

    Capital / Liquidity

    Euroclear ICSD Enables Lux ETF Cross-Listings on SGX, HKEX

    By Editors | 21/10/2022

    With support from Euroclear, DWS migrated Luxembourg ETFs to the ICSD model in order to list in Hong Kong and Singapore.

    Big Picture

    FSB Proposes Measures to Address Risks in Govt Bond Markets

    By Editors | 21/10/2022

    The FSB outlines policies to help address factors that caused non-bank investors to sell government bonds during the March 2020 market turmoil.

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