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Securities / Derivatives
Securities / Derivatives
RBI Issues Recognition Framework for Financial Market SROs
By Ajoy K Das | 20/08/2024
SROs would be expected to “be an ally” to the RBI in ensuring better compliance with regulatory guidelines and for detection of early warning signals.
Enforcement
SFC Lifts Suspension of Changjiang Corporate Finance
By Sanday Chongo Kabange | 20/08/2024
The SFC said it is satisfied that Changjiang’s sponsor business now has adequate systems, controls, policies and procedures to enable compliance.
Fintech / Regtech
Malaysia’s SC Implements Revised Technology Risk Management Rules
By Nithya Subramanian | 20/08/2024
The revised guidelines include new requirements on reporting to the SC, performing cyber security assessments, and conducting penetration testing.
Enforcement
US SEC Fines Billionaire Investor Carl Icahn for Disclosure Failures
By Editors | 20/08/2024
Carl Icahn failed to disclose pledges of more than half of his stock in publicly traded Icahn Enterprises for billions of dollars in personal margin loans.
Crypto / Digital Assets
ICMA Publishes New GMRA Annex Dedicated to Digital Assets
By Editors | 19/08/2024
The Annex was prepared by ICMA, ISLA, and Clifford Chance to provide a standardised framework for documenting repo transactions involving digital assets.
Securities / Derivatives
SEBI Permits Market Borrowings by Category I and II AIFs
By Ajoy K Das | 19/08/2024
Under existing rules, Category I and II AIFs are not allowed to borrow or use leverage for investments, except in limited cases for temporary needs.
Enforcement
Korean Expands Probe into Unfair Practices in ETF Market
By Editors | 19/08/2024
The FSS is investigating whether asset managers had help from group affiliates to increase the net asset values of ETFs they issued.
Securities / Derivatives
Malaysia SC Calls on VC/PE Firms to List on Public Register
By Ranamita Chakraborty | 19/08/2024
VC/PC intermediaries that are not yet listed on the public register must contact the SC within 14 days to avoid potential deregistration.
Fintech / Regtech
Getting Your Ducks in a Row for APAC Rules Rewrites
By Priya Kundamal | 19/08/2024
DTCC’s Priya Kundamal discusses the lessons learned from markets that have implemented the first phase of changes to derivatives reporting rules.
Fintech / Regtech
Hong Kong SFC Proposes to Abolish Mixed Media Offers
By Sanday Chongo Kabange | 19/08/2024
The SFC says MMOs have become “obsolete” since the introduction of the paperless listing and subscription regime in 2021.
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