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Securities / Derivatives
HKMA Warns of Risks in Leveraged Investment Products
By Editors | 09/08/2020
Banks should take into account Covid-19 in product due diligence and client suitability assessments, and exercise caution when dealing in leveraged products.
Enforcement
HK Bourse Seeks Broader Powers to Punish Misconduct
By Editors | 09/08/2020
Hong Kong’s stock exchange proposes to enhance its disciplinary regime to enhance its ability to hold accountable and sanction senior managers and directors responsible for misconduct.
Enforcement
US Regulators Unveil Plan to Deal With Chinese Listings
By Editors | 08/08/2020
A presidential working group which includes the chairmen of the SEC, CFTC and Fed has recommended changes to US listing rules to require access to companies’ audit papers.
Securities / Derivatives
China Paves Way for Class Actions in Securities Disputes
By Lucy Zhang | 07/08/2020
New regulations issued by China’s Supreme Court provide channels for small and medium investors to pursue joint litigation in securities disputes.
Enforcement
CEO Faces 112 Charges of Market Rigging in Singapore
By Editors | 06/08/2020
CEO and chairman of SGX-listed KS Energy is alleged to have engaged in conduct to push up his company’s stock and create a misleading appearance of its price.
Capital / Liquidity
RBI Adopts New Measures to Ease Covid-19 Financial Stress
By Editors | 06/08/2020
A new resolution framework will allow banks to continue to maintain the ‘standard’ classification for corporate borrowers in resolution rather than downgrade the account, among other measures.
Enforcement
SGX RegCo to Enhance Enforcement, Whistleblowing Frameworks
By Manesh Samtani | 06/08/2020
The proposed enforcement framework will seek to achieve swifter outcomes from the disciplinary process. Whistleblowing policies will become mandatory for listed issuers.
ESG / Sustainability
Taiwan to Introduce Social & Sustainability Bonds by Year End
By Editors | 06/08/2020
Taiwan’s FSC will direct OTC market operator Taipei Exchange to develop new guidelines for issuing social and sustainability bonds.
Securities / Derivatives
TWSE Sets 26 October Launch Date for Odd-Lot Trading
By Editors | 06/08/2020
Currently, odd-lot trading is only permitted in after-hours trading. Starting 26 October, odd-lot orders will be accepted during the regular trading session.
Securities / Derivatives
ASX Concludes Consultation on CHESS Replacement Timeline
By Editors | 05/08/2020
A four-week consultation on a new timeline for the CHESS replacement project has found that 91% of users can be ready by April 2022.
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