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SECURITIES / DERIVATIVES
Securities / Derivatives
SEBI to Expand Scope of Sustainable Finance Framework
By Ajoy K Das | 21/08/2024
A new category of financial instruments, ‘ESG Debt Securities’, will comprise green bonds, social bonds, sustainable bonds and SLBs.
Market Infrastructure
Stock Connect’s 2nd Phase of Market Data Changes Now in Effect
By Sanday Chongo Kabange | 20/08/2024
The changes may lower volatility and help stabilise the A-share market, but may also lower the market’s appeal to some foreign investors.
Enforcement
China Issues Guidelines on Prosecutions in Financial Fraud Cases
By Editors | 20/08/2024
Organisations and individuals that provide a “one-stop financial fraud service” to companies or enterprises will be “severely punished”.
Securities / Derivatives
SEBI Proposes Liquidity Window Facility for Debt Securities
By Ajoy K Das | 20/08/2024
The facility would allow issuers to provide put options to investors, enabling them to sell their debt securities back to the issuer before maturity.
Securities / Derivatives
RBI Issues Recognition Framework for Financial Market SROs
By Ajoy K Das | 20/08/2024
SROs would be expected to “be an ally” to the RBI in ensuring better compliance with regulatory guidelines and for detection of early warning signals.
Enforcement
SFC Lifts Suspension of Changjiang Corporate Finance
By Sanday Chongo Kabange | 20/08/2024
The SFC said it is satisfied that Changjiang’s sponsor business now has adequate systems, controls, policies and procedures to enable compliance.
Fintech / Regtech
Malaysia’s SC Implements Revised Technology Risk Management Rules
By Nithya Subramanian | 20/08/2024
The revised guidelines include new requirements on reporting to the SC, performing cyber security assessments, and conducting penetration testing.
Enforcement
US SEC Fines Billionaire Investor Carl Icahn for Disclosure Failures
By Editors | 20/08/2024
Carl Icahn failed to disclose pledges of more than half of his stock in publicly traded Icahn Enterprises for billions of dollars in personal margin loans.
Crypto / Digital Assets
ICMA Publishes New GMRA Annex Dedicated to Digital Assets
By Editors | 19/08/2024
The Annex was prepared by ICMA, ISLA, and Clifford Chance to provide a standardised framework for documenting repo transactions involving digital assets.
Securities / Derivatives
SEBI Permits Market Borrowings by Category I and II AIFs
By Ajoy K Das | 19/08/2024
Under existing rules, Category I and II AIFs are not allowed to borrow or use leverage for investments, except in limited cases for temporary needs.
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