Securities / Derivatives

ESG / Sustainability

LSE’s VCM to Finance Climate Change Mitigation

By ESG Investor | 10/10/2022

The London Stock Exchange has announced the launch of the first VCM by a primary exchange with the publication of final admission and disclosure rules.

Securities / Derivatives

HKIFA Calls for Review of MPF Investment Framework

By Editors | 10/10/2022

The HKIFA is calling for relaxations to allow MPF funds to invest in a wider range of asset classes, and to provide investment flexibility to those already in retirement.

Enforcement

Korea May Start Naming Foreign Firms Engaged in Illegal Short-Selling

By Editors | 09/10/2022

Local securities firms are required to notify investors if they are fined for violating short selling-related rules, but this is not the case for foreign investors.

Enforcement

FSA Bars SMBC Nikko from Block Trades for 3 Months

By Editors | 09/10/2022

SMBC Nikko Securities was also found to have shared confidential information of several corporate clients without their consent with its parent’s banking unit.

AML / KYC

Malaysia Budget 2023 to Tackle Scams, Promote Capital Market

By Editors | 09/10/2022

Budget 2023 includes measures to strengthen the capital market, protect against scams and cyber threats, and drive the ESG and climate change agenda.

AML / KYC

LME Considers Banning Russian Metals from Warehouses

By Editors | 08/10/2022

Even without direct sanctions, a significant number of metals consumers are expressing an unwillingness to accept Russian metal in 2023, LME says.

Securities / Derivatives

IMF Calls on Policymakers to Address Fund Redemption Risks

By Editors | 08/10/2022

Policymakers should provide guidance on how open-ended funds should calibrate swing pricing and similar tools, and monitor their implementation.

Enforcement

HK Court Orders Founder to Buy Shares from Wronged Investors

By Editors | 07/10/2022

The order is the first made to require a listed company executive to buy shares held by other investors “at a price to be determined by the court”.

Securities / Derivatives

China Offers Tax Breaks to Private Pension Participants

By Editors | 07/10/2022

The move is expected to incentivise more FIs to participate in the private pension scheme and improve their products and services to gain market share.