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SECURITIES / DERIVATIVES
Securities / Derivatives
HKEX Stops Showing Real-time Stock Connect Data
By Manesh Samtani | 14/05/2024
The change is expected to reduce abnormal market swings, mitigate herd behaviour, and promote fairer access to information.
Market Infrastructure
Regulators Announce Enhancements to Swap Connect
By Sanday Chongo Kabange | 14/05/2024
The enhancements will enrich the tradeable products, improve ancillary services, and reduce investor participation costs.
Enforcement
FINRA Censures and Fines Mizuho’s US Securities Unit
By Editors | 14/05/2024
Mizuho Securities had inaccurate or incomplete information in more than 300,000 institutional customer confirmations over five years.
Securities / Derivatives
China Mulls Tax Exemption for Stock Connect Investors
By Editors | 14/05/2024
The proposal to scrap the dividend tax for mainland Stock Connect investors was submitted in March by the SFC’s Tim Liu.
Capital / Liquidity
ICBC, BOC to Issue First TLAC Bonds This Week
By Editors | 14/05/2024
ICBC and Bank of China will each raise CNY 30 billion through TLAC bonds this week, their first such issuances.
Market Infrastructure
HKEX Announces Plans to Enhance Securities Clearing Arrangement
By Editors | 14/05/2024
The enhancement will allow exchange participants that are non-clearing participants to appoint more than one general clearing participant for the clearing and settlement of stock and options trades.
Securities / Derivatives
SEBI Proposes Reduced Regulatory Burden on REITs, InvITs
By Ajoy K Das | 13/05/2024
SEBI also proposes to speed up distributions to unitholders and enable them to attend and vote at meetings remotely.
Securities / Derivatives
FSS Korea Proposes Measures to Boost Trust in Underwriters
By Mark Johnston | 13/05/2024
The measures will strengthen due diligence, disclosure and IPO pricing standards; KRX facing criticism over delayed IPO approvals.
Securities / Derivatives
SEBI to Ease Disclosure Rules for Non-convertible Securities
By Ajoy K Das | 13/05/2024
SEBI proposed to remove requirements to disclose the PAN and personal addresses of promoters.
Securities / Derivatives
HKMA Issues Revised Guideline on SFC-registered AIs
By Editors | 13/05/2024
The revised module aims to serve as a “convenient regulatory handbook” for HKMA-authorised institutions that are also registered with the SFC.
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