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Hong Kong Securities And Futures Appeals Tribunal Affirms Hong Kong Securities And Futures Commission Decision To Ban Calvin Choi Chi Kin For Two Years

Date 29/09/2023

The Securities and Futures Appeals Tribunal (SFAT) handed down a determination today and upheld the Securities and Futures Commission (SFC)’s disciplinary action against Mr Calvin Choi Chi Kin, a former managing director of UBS AG, from re-entering the industry for two years from 29 September 2023 to 28 September 2025 for breaches of the SFC’s Code of Conduct and the CFA Code of Conduct.
SGX RegCo Wants Regal International To Improve Internal Controls

Date 29/09/2023

Singapore Exchange Regulation (“SGX RegCo”) refers to the Notices of Compliance (“NOCs”) issued to the Company on 29 March 2021 and 8 November 2022 to investigate into certain transactions between the Group and its substantial shareholder, Twin Revenue Sdn Bhd (“Twin Revenue”). This arose after the Group’s statutory auditor issued a disclaimer of opinion for its financial statements for the year ended 31 December 2019. Deloitte & Touche Financial Advisory Services Pte. Ltd (“Deloitte”) was appointed as the independent reviewer. The findings, as announced on 29 September 2023, were reported directly to SGX RegCo and the Company’s Audit Committee.
Hong Kong Securities And Futures Commission Publishes Lists Of Virtual Asset Trading Platforms

Date 29/09/2023

The Securities and Futures Commission (SFC) published today several lists of virtual asset trading platforms (VATPs) on its website as part of its efforts to disseminate information on VATPs in a clear, transparent and timely manner.
How To Protect The Company? The Hong Kong Institute Of Directors, Directors' Symposium 2023, Mr Christopher Wilson, Hong Kong Securities And Futures Commission Executive Director, Enforcement, 28 September 2023

Date 29/09/2023

Thank you, William, and thank you to the Hong Kong Institute of Directors (HKIoD) for inviting me here to speak. It is truly an honour to be here today.
Japan Financial Services Agency: Trends In High-Speed Trading

Date 29/09/2023

The Financial Instruments and Exchange Act was amended in May 2017 (enforced April 2018) to require financial instruments business operators who engage in high-speed trading to register.

Bursa Malaysia Joins Global World Investor Week Campaign To Combat Financial Frauds & Investment Scams

Date 29/09/2023

Bursa Malaysia Berhad ("Bursa Malaysia" or "the Exchange") is set to ring the bell against financial frauds and investment scams on 4 October 2023 as part of its ongoing investor education efforts, and in conjunction with ‘World Investor Week’.
Publication Of "Japan Financial Services Agency Analytical Notes"

Date 29/09/2023

The FSA is enhancing its data analysis capabilities and data infrastructure. Some case-examples of the data analyses undertaken by the FSA in FY2022 as part of such efforts are published as "FSA Analytical Notes" in June 2023.
Japan Financial Services Agency: Summary Of Results Of The Fifth Survey On The Use Of LIBOR

Date 29/09/2023

The Financial Services Agency (FSA), together with the Bank of Japan (BOJ), conducted a joint survey of financial institutions, including banks, securities companies and insurance companies, regarding their use of LIBOR. The reference date of this survey is end-June 2023.
Japan Exchange Group Integrated Report

Date 29/09/2023

JPX Report 2023
New Zealand Financial Markets Authority Consults On Proposed Liquidity Risk Management Guidance

Date 29/09/2023

The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko – has released proposed guidance for Managed Investment Scheme (MIS) managers and their supervisors for effective liquidity risk management (LRM).