SECURITIES / DERIVATIVES

Securities / Derivatives

HKEX Offers New Guidance on Preventing Self-Matched Trades

By Sanday Chongo Kabange | 12/09/2024

The guidance aims to help firms mitigate the risk of self-trades by different trading units that might be susceptible to inappropriate trading behaviour.

Securities / Derivatives

SEBI Streamlines Registration Process for Foreign VC Firms

By Ajoy K Das | 11/09/2024

From 1 Jan 2025, resident Indians, non-resident Indians, and overseas citizens of India can be constituents of the FVCI applicant.

Securities / Derivatives

SEBI Rescinds Restrictions Imposed in Infosys Insider Trading Case

By Ajoy K Das | 11/09/2024

Restrictions imposed on 16 entities were lifted after SEBI found insufficient evidence to sustain the insider trading allegations.

Securities / Derivatives

CSRC to Bar Departing Senior Officials from IPOs for 10 Years

By Editors | 10/09/2024

The prohibitions would apply to CSRC and stock exchange officials, as well as their parents, spouses, children, and children’s spouses.

Securities / Derivatives

SFC Sets Rules for Distributing Research on Stock Connect ETFs

By Manesh Samtani | 10/09/2024

Hong Kong intermediaries are allowed to distribute research reports of eligible Mainland ETFs that are available in Hong Kong via Stock Connect.

Securities / Derivatives

South Korea Faces Calls to Address Rapid Rise in ‘Zombie’ ETFs

By Thisanka Siripala | 10/09/2024

Experts are urging regulators to intervene and protect investors from underperforming ‘zombie’ ETFs, which can trap investor funds and offer limited returns.

Securities / Derivatives

India: Two FPIs Seek Extension to Comply With New Disclosure Rule

By Ajoy K Das | 10/09/2024

Two Mauritius-based FPIs suspected of being linked to Adani Group have asked for six more months to comply with SEBI’s beneficial ownership disclosure rules.

Securities / Derivatives

India’s IFSCA Proposes Rules for CP, CD Issuance in GIFT City

By Ajoy K Das | 10/09/2024

The introduction of CP and CD products is expected to attract more foreign and NRI investors to participate in GIFT City.

Enforcement

US SEC Charges 10 Firms for Breaking Whistleblower Protection Rule

By Nithya Subramanian | 10/09/2024

A broker-dealer, two investment advisers, and seven public companies used signed agreements to impede the reporting of misconduct to the SEC.