Securities / Derivatives

CSRC Revises Rules for Securities Brokerage Businesses

24/01/2023

The rules strengthen requirements for firms to protect customers and implement transaction management and process controls.

Capital / Liquidity

US OCC Outlines Framework for “Too-Big-to-Manage” Banks

24/01/2023

The OCC is looking to provide more transparency into its escalation framework for dealing with banks that become too big to manage.

ESG / Sustainability

Bangladesh to Form New Market for Shariah Compliant Securities

23/01/2023

The BSEC has formed a-nine member advisory council to help develop the new Islamic capital market.

ESG / Sustainability

Researchers Dispute Benefits of Verra Approved Carbon Credits

23/01/2023

Investigative journalists found that only a handful of Verra’s rainforest projects showed evidence of deforestation reductions.

Securities / Derivatives

NZ FMA Publishes First Risk Assessment of Fund Management Sector

23/01/2023

Risk management practices and controls used by fund managers reduce overall risk but “pockets of relatively higher risk” still exist.

Securities / Derivatives

Bangladesh: Chittagong Bourse Seeks to Launch FX Derivatives

21/01/2023

Currently, there are no regulations in Bangladesh allowing for the introduction of currency or other financial derivatives.

Crypto / Digital Assets

WEF Publishes Toolkit to Facilitate Development of DAOs

21/01/2023

DAOs have the potential to address the shortcomings of traditional firms while also realising more equitable governance and operations.

Securities / Derivatives

SEBI Proposes New Fund Blocking Mechanism for Securities Trades

21/01/2023

SEBI said the proposed ASBA-like mechanism for secondary markets is designed to safeguard client assets from broker misuse and defaults.

Market Infrastructure

Exchanges Publish Draft Rules to Expand Stock Connect

20/01/2023

The draft rules cover changes to align the Mainland and Hong Kong’s trading calendars and expand the scope of stocks that can be traded via Stock Connect.