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Updated ASX Group Dealing Rules Policy - Insider Trading Prevention

ASX Limited released an updated ASX Group Dealing Rules Policy effective 25 March 2026, in accordance with ASX Listing Rule 12.10. The Policy establishes principles, requirements and governance arrangements to mitigate insider trading risk for ASX people and their Connected Persons. The Policy requires pre-clearance approval to deal in Covered Securities and prohibits dealing during designated ASX Trading Windows except in exceptional circumstances.

Responds to Final Report from ASIC Inquiry Panel

ASX has announced its response to the ASIC Inquiry Panel's Final Report, committing to implement a comprehensive Commitments Plan addressing governance, capability, and risk management deficiencies identified across the group. ASIC imposed a $150 million capital charge on ASX that will remain until milestones in the Accelerate Program reset are achieved, with the reset required to be agreed with ASIC and the RBA by 30 June 2026.

SGX-DT Market Error Trade Policy Amendments

SGX RegCo amended Rule 4.1.8 governing the SGX-DT Market Error Trade Policy. The policy defines error trades as transactions resulting from erroneous bid/offer entries that were matched on the Trading System. The Exchange retains discretion to cancel or adjust error trades where the trade price falls outside the error trade price range, calculated against a reference price. No price adjustments apply to strategy transactions, implied orders from strategy matching, option trades (except designated Option Contracts when underlying cash market is open), or trades with prices relative to predefined reference points.

Regulatory Notice 3.2.3A — Reporting and Other Requirements for Dairy Contracts

SGX RegCo issued Regulatory Notice 3.2.3A establishing new reporting and other requirements for Dairy Contracts traded on the SGX-DT Market. The notice applies to Trading Members that are resident or incorporated in New Zealand, or that are not resident in New Zealand but offer Dairy Contracts to retail investors in New Zealand as defined under Section 6 of the New Zealand Financial Markets Conduct Act 2013. Affected Trading Members must report their circumstances to SGX within 14 calendar days of the effective date and ensure all Dairy Contract trades are cleared through dedicated disclosed accounts.

Regulatory Notice 3.3.3 — Disclosure Obligations for Trading Members Regarding Dairy Contracts with New Zealand Clients

SGX RegCo issued Regulatory Notice 3.3.3 requiring Trading Members to make specific disclosures to New Zealand Clients before accepting orders to trade in Dairy Contracts. The disclosure must address four key areas: the Exchange's principal place of business in Singapore, Singapore's regulatory jurisdiction, differences in investor rights and compensation arrangements compared to New Zealand markets, and currency exchange rate risks for New Zealand investors.

Adequacy of Systems Requirements for SGX Members

SGX RegCo issued Regulatory Notice 2.6.2A requiring Members to ensure their trading systems and Market connections operate properly with adequate and scalable capacity. The notice mandates comprehensive planning programs covering capacity estimates, system testing, stress testing, and periodic independent reviews. Members must also implement hiring and training policies for qualified technical personnel, with responsibility retained even under outsourcing arrangements.

SECP Proposes ESG Mutual Fund Framework for Sustainable Investing

The Securities and Exchange Commission of Pakistan (SECP) has proposed a regulatory framework for ESG Mutual Funds requiring at least 70 percent of investments in ESG-aligned assets. The framework introduces disclosure requirements, governance standards, and assurance mechanisms to prevent greenwashing. Asset managers will align equity funds with the Pakistan Stock Exchange's upcoming Sustainability Index and debt funds with Pakistan's Green Taxonomy. Stakeholders may submit feedback by April 21, 2026.

CSA Proposes Amendment to NI 55-104 Insider Reporting Requirements for Investment Funds and Structured Products

The Canadian Securities Administrators (CSA) published a proposed amendment to Part 9 of National Instrument 55-104 Insider Reporting Requirements and Exemptions on April 9, 2026. The proposed amendment is intended to clarify insider reporting requirements applicable to transactions involving investment funds and structured products, including structured notes, American Depositary Receipts, and Canadian Depositary Receipts that are based on securities of the reporting insider's reporting issuer. The 60-day comment period closes June 8, 2026.