SECURITIES / DERIVATIVES

Securities / Derivatives

SEBI Eases Rules to Enable Digital Onboarding by Portfolio Managers

By Ajoy K Das | 04/05/2024

A requirement for distributors of portfolio management services to register with the APMI is also being mandated.

Securities / Derivatives

UK Consults on Guidance for New Derivatives Reporting Rules

By Editors | 04/05/2024

The consultation seeks feedback on new Q&As and corresponding changes to the UK EMIR validation rules, which take effect from 30 September.

Securities / Derivatives

CFTC May Revoke US Permissions to Trade TAIEX Futures

By Editors | 04/05/2024

TSMC has accounted for more than a 30 percent weighting in the TAIEX for 45 trading sessions in a row.

Securities / Derivatives

Taiwan Unveils Measures to Enhance Regulatory System for ETFs

By Mark Johnston | 03/05/2024

The FSC will review ETF sales documents. SITCA will strengthen advertising reviews. Indices tracked by ETFs will have to be approved.

Big Picture

Risks in APAC Private Credit Sector are Limited: HKMA Research

By Manesh Samtani | 03/05/2024

However, further monitoring is warranted as private credit funds are increasingly open-ended, using leverage, and loosening their underwriting standards.

Securities / Derivatives

CSRC Issues Guidelines for Listing Transfers to Beijing Exchange

By Editors | 03/05/2024

The guidelines focus on transfers of listings from the NEEQ to improve the overall quality of BSE-listed companies.

Securities / Derivatives

Indonesia OJK Issues New Short Selling Regulations

By Editors | 03/05/2024

OJK said the regulations will ensure robust risk management and regulatory compliance by securities companies.

Enforcement

JPMorgan to Pay Penalty to 3rd Regulator in Surveillance Case

By Nithya Subramanian | 03/05/2024

Following fines from the OCC and Fed announced in March, JPM said it has to pay $100m to a third regulator, identified in reports as the CFTC.

Fintech / Regtech

US CFTC Appoints First-Ever Chief AI Officer

By Sanday Chongo Kabange | 03/05/2024

The role will involve leading the development of the CFTC’s enterprise data and AI strategy and advancing its data-driven capabilities.