SECURITIES / DERIVATIVES

Securities / Derivatives

MAS Issues Notice on Fund Data Submission Requirements

By Nithya Subramanian | 07/05/2024

Notice SFA 04-N23 specifies monthly and daily submission requirements applicable to managers of authorised CIS, excluding REITs.

Enforcement

CFTC Publishes Report on Responsible AI in Markets

By Manesh Samtani | 07/05/2024

The report offers five recommendations on how the CFTC should safeguard financial markets from AI-related risks.

Securities / Derivatives

China Issues New Rules for Private Securities Investment Funds

By Editors | 06/05/2024

The rules were proposed last May but have since been relaxed in several aspects, including a lower forced liquidation threshold.

Securities / Derivatives

NZX Issues Consultation on Director Independence Settings

By Editors | 06/05/2024

NZX is undertaking a detailed review of its corporate governance settings relating to director independence.

Securities / Derivatives

India Allows Non-Bank FPIs to Issue Derivatives in GIFT City

By Ajoy K Das | 06/05/2024

Non-bank FPIs including AIFs are expected to start issuing derivatives in GIFT City and offering them to international investors.

Securities / Derivatives

SEBI Revamps Supervisory Framework for Analysts, Advisers

By Ajoy K Das | 05/05/2024

Under the new framework, stock exchanges can apply to be recognised as administrative and supervising bodies for research analysts and investment advisers.

Enforcement

Korea FSS Set to Issue Interim Findings from Short Selling Probe

By Sanday Chongo Kabange | 05/05/2024

Ten global investment banks including Nomura and Credit Suisse are expected to face fines totalling more than $73.7mn.

Securities / Derivatives

China Stock Exchanges Finalise New Rules on Listing Access

By Editors | 05/05/2024

The rules say more on-site inspections of listing applicants will be conducted and a risk warning will be introduced for companies that underpay dividends.

Securities / Derivatives

CSRC Revises STAR Market Criteria to Boost R&D Investment

By Mark Johnston | 05/05/2024

The guidelines were revised to require STAR Market companies to have more R&D investment, more invention patents and a higher income growth rate.