Securities / Derivatives

ESG / Sustainability

Thailand Publishes CFA’s ESG Disclosure Guidelines for Local Use

By Editors | 09/09/2022

SEC secretary-general Ruenvadee Suwanmongkol said the guidelines would enhance ESG disclosures, improve capital markets, and mitigate greenwashing.

Securities / Derivatives

NZ FMA Concerned Over Retail Involvement in Stock Lending

By Editors | 09/09/2022

The FMA says investors should make sure the risks and returns are properly explained before they allow their shares to be lent out.

Securities / Derivatives

CPMI, IOSCO Consider Ways to Boost Client Clearing Access

By Editors | 08/09/2022

Practices to facilitate porting need to be further developed to ensure clients can continue to access clearing in the event of an intermediary default.

Securities / Derivatives

FSC Korea to Revise Rules for Issuing Convertible Preference Shares

By Editors | 08/09/2022

The revisions follow rule changes made last year to prevent convertible bonds from being used to unfairly dilute small shareholders.

Big Picture

ASIFMA Offers Guidance on Identifying Labour-related ESG Risks

By Manesh Samtani | 08/09/2022

ASIFMA’s new paper says open dialogue and engagement is needed for investors to better understand the labour practices of investee companies.

ESG / Sustainability

Sri Lanka SEC, CSE Sign MOU with Accounting Body on ESG

By Duruthu E Chandrasekera | 08/09/2022

MOUs with CFA Society and CA Sri Lanka were signed as a prelude to the establishment of an ESG index by the CSE.

Securities / Derivatives

HKEX to Enhance Obligations for Stock Options Market Makers

By Editors | 08/09/2022

A first phase of enhancements will take effect on 31 October 2022. A second phase will be implemented in H1 2023, subject to market readiness.

Market Infrastructure

JPX, CFFEX Agree to Cross-Promote Derivatives Products

By Editors | 08/09/2022

The arrangements includes the promotion of derivatives trades to enhance the liquidity of ETFs listed under the Japan-China ETF Connectivity scheme.

Enforcement

Australia: ABN AMRO Penalised Over Block Trading Rule Breach

By Editors | 08/09/2022

ABN AMRO Clearing Sydney registered ASX SPI 200 Futures block trades that included split allocations below the Minimum Value Threshold.