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Bursa Malaysia Securities Publicly Reprimands And Fines Dato’ Dr. Ir. Ts. Mohd Abdul Karim Bin Abdullah, The Group Managing Director/Chief Executive Officer Of Serba Dinamik Holdings Berhad (In Liquidation)

Date 29/09/2023

Bursa Malaysia Securities Berhad [Registration No.: 200301033577 (635998-W)] (Bursa Malaysia Securities) has publicly reprimanded and imposed a fine of RM15,000 on Dato’ Dr. Ir. Ts. Mohd Abdul Karim bin Abdullah (Dato’ Karim), the Group Managing Director/Chief Executive Officer of Serba Dinamik Holdings Berhad (in liquidation) (SERBADK) for breach of paragraph 14.08(d) of the Bursa Malaysia Securities Main Market Listing Requirements (Main LR) for failing to give notice to the company secretary within 1 full market day after the disposal of his interest in 107,963,930 SERBADK shares (the Shares) on 9 May 2022 (Disposal) to enable SERBADK to immediately announce such notice including information on the Disposal as required by paragraph 14.08(d)(i)-(iii) of the Main LR. The Disposal was only announced on 12 August 2022.
Tokyo Stock Exchange: Mito Securities Co.,Ltd. Joins As A Broker To Provide Connection To CONNEQTOR

Date 29/09/2023

Tokyo Stock Exchange, Inc. (TSE) launched the RFQ (Request For Quote) platform, CONNEQTOR, in February 2021 with the aim of improving liquidity in the ETF market. We are pleased to announce that Mito Securities Co.,Ltd. will join as a broker to provide connectivity to CONNEQTOR from October 2, 2023. And they will also provide a service to use CONNEQTOR on behalf of institutional investors so that they can use the service by phone. This brings to 18 the number of brokers that offer CONNEQTOR to institutional investors.
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.