Securities / Derivatives

India: Small- and Mid-Cap Stocks Making Regulators Nervous

By Pankaj Sharma | 29/04/2024

Pankaj Sharma says SEBI’s approach to small- and mid-cap funds has been prudent, but that it should look to more closely align with international standards.

Securities / Derivatives

Bangladesh Tightens Circuit Breaker Limit for Listed Stocks

By Ajoy K Das | 27/04/2024

BSEC said the decision to tighten the circuit breaker’s lower limit was made in the interest of investors and securities market.

Fintech / Regtech

Korea Reveals Details on Naked Short Selling Detection System

By Manesh Samtani | 27/04/2024

Korea’s short-selling ban is unlikely to be lifted until after the new system is established, which is expected to take at least a year.

Securities / Derivatives

China Works to Curb Domestic Access to Offshore LGFV Debt

By Editors | 27/04/2024

Registrations stop for new credit-linked notes backed by offshore LGFV debt. QDLP fund managers asked about exposures to offshore LGFV debt.

Market Infrastructure

MAS Issues New Guidance on RFMC Transition

By Nithya Subramanian | 26/04/2024

New FAQs provide clarity on the application and assessment process and how existing RFMCs can ensure smooth functioning during the transition phase.

Enforcement

US Citizen Jailed in Singapore for Running Ponzi Scheme

By Nithya Subramanian | 26/04/2024

Michael Philip Atkins cheated more than 1,000 investors in a forex trading scheme involving more than S$18mn.

Enforcement

Hong Kong Court Convicts Two Former Brokers for False Trading

By Editors | 25/04/2024

Former representatives of KGI Asia Limited and South China Securities Limited will be sentenced on 16 May 2024.

Securities / Derivatives

China to Revise Securities Investment Fund Law – Report

By Mark Johnston | 25/04/2024

CSRC is working on revisions to China’s securities investment fund law to improve protections for investors and reduce capital market risks.

Fintech / Regtech

CFTC AI Rules Should Focus on Use Cases, Not Technology: FIA

By Manesh Samtani | 25/04/2024

FIA and other industry bodies say the focus should be on “the application of the technology within the context of a particular use case, not the technology as a whole”.

Securities / Derivatives

SEBI to Allow Cross-Margining for Futures with Different Expiries

By Ajoy K Das | 25/04/2024

A spread margin of 40 percent will be applicable for offsetting positions in correlated indices with different expiry dates.

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