ADVERTISEMENT
SECURITIES / DERIVATIVES
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.
Securities / Derivatives
SEBI Allows NRIs, OCIs to Fully Own GIFT City FPIs Entities
By Ajoy K Das | 03/05/2024
Non-resident Indians and overseas citizens of India will be allowed to own up to 100 percent in FPIs, compared to just 50 percent previously.
Enforcement
SFC Starts Insider Dealing Prosecution Against Hedge Fund
By Sanday Chongo Kabange | 03/05/2024
The SFC is prosecuting Segantii Capital Management, its founder Simon Sadler, and former trader Daniel La Rocca for insider dealing.
Securities / Derivatives
Korea FSC Unveils Draft Guidelines for “Value-up” Programme
By Manesh Samtani | 03/05/2024
The programme is designed to encourage listed companies to improve corporate governance, long term value creation, and shareholder returns.
Securities / Derivatives
RBI Issues Draft Framework for Electronic Trading Platforms
By Ajoy K Das | 02/05/2024
ETPs operated from outside India by an operator incorporated outside India may seek authorisation to provide platform access to Indian residents.
JOIN OUR NEWSLETTER
A daily selection of top stories from the Regulation Asia editorial team