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Opening Remarks, Dato’ Seri Dr. Awang Adek Hussin, Chairman, Securities Commission Malaysia, 2023 OECD-Asia Roundtable On Corporate Governance, 11 October 2023

Date 11/10/2023

At the 2023 OECD-Asia Roundtable on Corporate Governance held at the Securities Commission Malaysia (SC) today, Deputy Finance Minister I YB Datuk Seri Ahmad Maslan officiated the Asia launch of the revised G20/OECD Principles of Corporate Governance.
ASIC Announces Action Against 11 Self-Managed Superannuation Fund Auditors

Date 11/10/2023

ASIC has taken action against 11 self-managed superannuation fund (SMSF) auditors, where conduct has fallen short and they have breached their obligations, in the quarter ending 30 September 2023. This included breaches of auditing and assurance standards, independence requirements and registration conditions.
Hong Kong Securities And Futures Commission Bans Ivan Chan Chuk Cheung For Seven Years For IPO Sponsor Failures

Date 11/10/2023

The Securities and Futures Commission (SFC) has prohibited Mr Ivan Chan Chuk Cheung, a former responsible officer (RO) of Changjiang Corporate Finance (HK) Limited (CJCF), from re-entering the industry for seven years from 10 October 2023 to 9 October 2030 for failing to discharge his supervisory duties as a sponsor principal in charge of five listing applications (Five Listing Applications).
Securities Commission Malaysia Hosts Asia Launch Of Revised G20/OECD Principles Of Corporate Governance At Regional Roundtable

Date 11/10/2023

The Securities Commission Malaysia (SC) and the Organisation for Economic Co-operation and Development (OECD) today held the 2023 OECD-Asia Roundtable on Corporate Governance, a regional forum to promote policy dialogue on corporate governance and corporate finance between Asian economies and the OECD.
Hong Kong Securities And Futures Commission Consults On Market Sounding Guidelines

Date 11/10/2023

The Securities and Futures Commission (SFC) today launched a consultation on proposed guidelines for market soundings. The proposed guidelines would provide clarity on regulatory expectations and assist intermediaries in their compliance with the general principle to conduct their business activities honestly, fairly and in the best interests of their clients and the integrity of the market (Note 1) during market soundings.

Shenzhen Stock Exchange: Securities Market Herald Has Been Continuously Selected As A Source Journal For Chinese Social Sciences Citation Index

Date 11/10/2023

Recently, according to the latest data from the Chinese Social Sciences Citation Index (CSSCI) database, the academic journal Securities Market Herald, administered and sponsored by SZSE, has been selected as a source journal for CSSCI (2023-2024). The Securities Market Herald was first selected as a CSSCI source journal in 2006 and has continued to be selected ever since.
SIFMA, SIFMA AMG Express Strong Concerns With SEC Proposed Rules On Predictive Data Analytics

Date 10/10/2023

SIFMA and SIFMA AMG today submitted a letter to the Securities and Exchange Commission (SEC) on the proposed rules that would require the elimination or neutralization of the use of predictive data analytics (PDA) and PDA-like technologies by Broker-Dealers and RIAs. SIFMA strongly urges the Commission not to move forward with the proposed framework, and instead consider more appropriate ways to address potential risks related to the use of PDA-like technologies.
NYSE Group Consolidated Short Interest Report

Date 10/10/2023

NYSE today reported short interest as of the close of business on the settlement date of September 29, 2023.
Nasdaq Announces End Of Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date September 29, 2023

Date 10/10/2023

At the end of the settlement date of September 29, 2023, short interest in 3,232 Nasdaq Global Market^SM securities totaled 10,707,778,036 shares compared with 10,586,849,412 shares in 3,247 Global Market issues reported for the prior settlement date of September 15, 2023. The end of September short interest represents 2.94 days average daily Nasdaq Global Market share volume for the reporting period, compared with 3.23 days for the prior reporting period.
Appropriating Appropriate Asymmetries: Statement On Modernization Of Beneficial Ownership Reporting Rule, SEC Commissioner Hester M. Peirce, Oct. 10, 2023

Date 10/10/2023

Although better than the proposed rule, the final beneficial ownership reporting rule continues to rest on flawed economics. Accordingly, I cannot support it.