ADVERTISEMENT
Securities / Derivatives
Enforcement
SFC Bars Former Securities Exec Over Secret Trading Account
By Sanday Chongo Kabange | 27/06/2024
The former chief operations officer of DA International Financial Service violated the company’s employee dealing policy.
Market Infrastructure
RBA Eases Regulatory Burden for Small Securities Settlement Facilities
By Sanday Chongo Kabange | 27/06/2024
The RBA has expanded exemptions to accommodate the potential emergence of new, technologically innovative securities settlement facilities.
Securities / Derivatives
Bangladesh’s First ETF Launch Delayed Due to Poor Investor Interest
By Ajoy K Das | 27/06/2024
LankaBangla Asset Management seeks further extension of subscription period after funds collected fall short of minimum requirement.
Market Infrastructure
SEBI Revises Oversight Framework for Stock Exchanges
By Ajoy K Das | 26/06/2024
The new framework aims to enhance governance by clearly defining the structure and responsibilities of various statutory committees.
Securities / Derivatives
CFTC Approves Four Comparability Determinations for Foreign Jurisdictions
By Editors | 26/06/2024
Certain swap dealers in Japan, Mexico, the EU, and UK can satisfy certain US capital and financial reporting requirements by complying with home country rules.
Market Infrastructure
China to Streamline Fund Management Rules for QFII Investors
By Mark Johnston | 26/06/2024
A top official said research is being conducted to facilitate QFII/RQFII investors’ participation in the domestic securities market.
Crypto / Digital Assets
France, Luxembourg Publish Results of Bond Tokenisation Project
By Editors | 26/06/2024
Project Venus highlighted the potential for wCBDC and DLTs to improve access, security, and efficiency of digital capital markets.
Securities / Derivatives
Mizuho Seeking Approval to Establish China Securities Unit
By Sanday Chongo Kabange | 26/06/2024
The CSRC has officially accepted an application from Mizuho seeking the establishment of a securities company in China.
Securities / Derivatives
Thailand Revises Rules on Short Selling, Algorithmic Trading
By Sanday Chongo Kabange | 26/06/2024
The revised rules introduce the uptick rule and a registration requirement for HFT investors, among other measures, effective from 1 July.
Enforcement
Japan FSA Orders MUFG Units to Correct Control Deficiencies
By Mark Johnston | 26/06/2024
The MUFG units breached Japan’s “firewall” regulations by sharing non-public client information without authorisation, the FSA said.
JOIN OUR NEWSLETTER
A daily selection of top stories from the Regulation Asia editorial team