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SECURITIES / DERIVATIVES
Fintech / Regtech
FIA Issues Best Practices on Managing Automated Trading Risks
By Editors | 19/07/2024
New paper outlines practices on pre-trade risk management, exchange volatility control mechanisms, post-trade analysis and testing, among other areas.
Enforcement
Ex-Goldman, Blackstone Analyst Sentenced for Insider Trading
By Editors | 19/07/2024
The former analyst passed MNPI to a friend and a family member who made a combined $400,000 in illegal profits.
Securities / Derivatives
TAIFEX to Launch Micro TAIEX Futures on 29 July
By Editors | 19/07/2024
Micro-TAIEX Futures are being launched because the Mini-TAIEX Futures have become too expensive to trade after Taiwan’s market surge.
Market Infrastructure
NZX Consults on Regulatory Settings for Index Futures Relaunch
By Manesh Samtani | 19/07/2024
One of the changes is to reduce the unit of trading from NZD 25 to NZD 1 to enable greater participation from smaller investors.
Securities / Derivatives
SC Malaysia Tightens Rules for Financial Influencers
By Nithya Subramanian | 19/07/2024
Finfluencers who promote capital market products to their followers for commissions or rewards would require a licence.
Securities / Derivatives
UK FCA Finalises New Access Regime for Overseas Funds
By Editors | 19/07/2024
The UK will offer a streamlined process for non-UK domiciled funds to market to UK retail customers, based on an equivalence determination by the government.
Fintech / Regtech
KRX Commences Work on Short Selling Monitoring System
By Sanday Chongo Kabange | 19/07/2024
KRX plans to recruit contractors early next month to work on the new monitoring system, which will launch by the end of March next year.
Market Infrastructure
Why UTIs are Critical for Accelerated Settlement
By Val Wotton | 18/07/2024
Firms should incorporate the UTI as a standard data point in post-trade processing workflows, says DTCC’s Val Wotton.
Securities / Derivatives
BSP Issues New Guidelines on FX Reporting and Penalties
By Sanday Chongo Kabange | 18/07/2024
The BSP says reporting entities have until 31 December to make the necessary preparations and adjustments to their systems and processes.
Securities / Derivatives
SEBI Proposes New Asset Class for High Risk Takers
By Ajoy K Das | 18/07/2024
To discourage retail investors, SEBI has proposed a minimum investment threshold of INR 1 million for this new asset class.
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