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Securities / Derivatives
Securities / Derivatives
SEBI Proposes to Diversify Ownership of Clearing Corporations
By Editors | 26/11/2024
SEBI proposes two options to diversify ownership of clearing corporations to allow them to operate as public utilities free from commercial, profit-making considerations.
Fintech / Regtech
IOSCO Publishes Final Guidance on Post Trade Risk Reduction Services
By Manesh Samtani | 26/11/2024
The guidance addresses risks relating to control and governance around algorithms, fair treatment of participants, data protection, and other areas.
Securities / Derivatives
IOSCO Publishes Results from Review of Derivatives Market Regulation
By Manesh Samtani | 26/11/2024
The review highlighted challenges jurisdictions have faced in implementing key principles for regulating and supervising derivatives markets.
Securities / Derivatives
SEBI Abolishes Mandatory Security Deposit for Public Issues
By Mark Johnston | 26/11/2024
SEBI has removed the mandatory one percent security deposit for public issues, aiming to simplify business operations.
Enforcement
US Authorities Charge Former Co-CIO of WAMCO with Fraud
By Editors | 26/11/2024
Ken Leech disproportionally allocate winning trades to favoured portfolios and loss-making trades to disfavoured portfolios.
Securities / Derivatives
Hong Kong Connectivity With Mainland Set to Increase
By Manesh Samtani | 25/11/2024
China Vice-Premier He Lifeng, CSRC Chairman Wu Qing and HKMA Chief Eddie Yue discussed new initiatives at the Global Financial Leaders’ Investment Summit.
Securities / Derivatives
BSP to Ease Rules on Cross-Selling Financial Products
By Sanday Chongo Kabange | 25/11/2024
The revised regulations will allow the cross-selling of financial products, including insurance and mutual funds, within financial conglomerates.
Securities / Derivatives
IOSCO Proposes Measures to Tackle Pre-Hedging Risks
By Manesh Samtani | 23/11/2024
IOSCO proposes recommendations to guide regulators in determining acceptable pre-hedging practices and managing the associated conduct risks effectively.
Securities / Derivatives
China: Fund Houses Slash ETF Fees as Active Managers Underperform
By Mark Johnston | 22/11/2024
Major Chinese fund companies have announced significant fee reductions for equity ETFs, intensifying competition in the rapidly expanding market.
Fintech / Regtech
Goldman Sachs to Make GS DAP Platform “Industry-owned”
By Nithya Subramanian | 22/11/2024
Goldman will establish a new, standalone company to spin out GS DAP so that it can be used by more participants to interoperate seamlessly.
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