SECURITIES / DERIVATIVES

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    Securities / Derivatives

    Asset Managers Moving India Funds to GIFT City – Report

    By Ajoy K Das | 14/02/2024

    Eight of the ten largest Indian asset managers have either relocated or are planning to relocate to GIFT City.

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    AML / KYC

    FinCEN to Extend AML/CFT Requirements to Investment Advisers

    By Editors | 14/02/2024

    Investment advisers would have to implement risk-based AML/CFT programmes and report suspicious activity to FinCEN.

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    ESG / Sustainability

    LME Facing Lawsuit Over “Dirty Metals” Sourced from Indonesia

    By Editors | 14/02/2024

    The case could force the LME to revisit its rules for listing metals for trading, the London Mining Network and Global Legal Action Network said.

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    Enforcement

    CSRC Fines Semiconductor Startup & Executives for IPO Fraud

    By Editors | 14/02/2024

    S2C Limited was found to have inflated its operating income and net profit in its 2021 application to list on the Shanghai STAR Market.

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    Securities / Derivatives

    SEBI Bars TV Guests, Analysts from Securities Market

    By Ajoy K Das | 13/02/2024

    11 individuals and 4 entities made unlawful gains of $900,000 from trading in stock they were recommending in TV broadcasts.

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    Securities / Derivatives

    RBI Allows Banks at GIFT City to Trade on Bullion Exchange

    By Ajoy K Das | 13/02/2024

    Branches of domestic banks in GIFT City can be trading members of IIBX but not for proprietary trades.

    Securities / Derivatives

    India: RBI Deputy Governor Urges NBFCs to Monitor P2P Lending

    By Ajoy K Das | 13/02/2024

    Deputy Governor M Rajeshwar Rao cautioned that shady business practices and breach of licensing conditions in P2P lending in NBFCs were not acceptable.

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    Securities / Derivatives

    CSRC Designates 13 Funds as “Major” Money Market Funds

    By Editors | 10/02/2024

    The funds will have to comply with stricter regulatory requirements under rules jointly issued with the PBOC in February 2023.

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    Securities / Derivatives

    US Regulators Expand Reporting Requirements for Private Funds

    By Manesh Samtani | 10/02/2024

    The amendments will require detailed reporting on hedge funds’ concentrated positions, counterparty exposures and financing arrangements.

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    Securities / Derivatives

    HKEX to Accelerate Changes to Executive Leadership

    By Editors | 10/02/2024

    Current CEO will step down earlier than planned. Co-COO Bonnie Chan will start as CEO on 1 March 2024 instead of 24 May 2024.

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