Securities / Derivatives

Securities / Derivatives

South Korea Faces Calls to Address Rapid Rise in ‘Zombie’ ETFs

By Thisanka Siripala | 10/09/2024

Experts are urging regulators to intervene and protect investors from underperforming ‘zombie’ ETFs, which can trap investor funds and offer limited returns.

Securities / Derivatives

India: Two FPIs Seek Extension to Comply With New Disclosure Rule

By Ajoy K Das | 10/09/2024

Two Mauritius-based FPIs suspected of being linked to Adani Group have asked for six more months to comply with SEBI’s beneficial ownership disclosure rules.

Securities / Derivatives

India’s IFSCA Proposes Rules for CP, CD Issuance in GIFT City

By Ajoy K Das | 10/09/2024

The introduction of CP and CD products is expected to attract more foreign and NRI investors to participate in GIFT City.

Enforcement

US SEC Charges 10 Firms for Breaking Whistleblower Protection Rule

By Nithya Subramanian | 10/09/2024

A broker-dealer, two investment advisers, and seven public companies used signed agreements to impede the reporting of misconduct to the SEC.

Securities / Derivatives

SEBI Employees Demand Resignation of Chairperson

By Ajoy K Das | 09/09/2024

About 200 employees held a “silent march” in front of SEBI’s headquarters to call for the resignation of chairperson Madhabi Buch Puri.

Securities / Derivatives

China to Merge Two Top Securities Firms to Create Industry Giant

By Editors | 09/09/2024

Guotai Junan Securities and Haitong Securities will merge, subject to regulatory and shareholder approval, creating China’s largest brokerage firm.

Securities / Derivatives

TAIFEX Amends Information Security Rules for Futures Brokers

By Editors | 08/09/2024

Among the new requirements, futures brokers must prohibit staff from storing confidential business information on personal mobile devices.

Market Infrastructure

Japan Proposes to Allow Foreign Institutions to Handle Domestic Securities

By Thisanka Siripala | 08/09/2024

Under the proposed revision, international platforms can be used for trading and settling domestic securities, provided they meet specific criteria and are approved by regulators.

Securities / Derivatives

Thailand: Stock Exchange Consults on Rules for New Public Fund

By Nithya Subramanian | 08/09/2024

The SET proposes to amend its rules on NAV disclosure, short selling and tick size for the Vayupak One Fund, a public fund being launched by the Ministry of Finance.