Securities / Derivatives

Securities / Derivatives

Australian Treasury Orders Chinese Investors to Sell Shares

By Editors | 04/06/2024

China-linked investors were ordered to dispose of shares in rare earths miner Northern Minerals on national interest grounds.

Securities / Derivatives

IOSCO Sets Out Good Practices for Leveraged Loan, CLO Markets

By Manesh Samtani | 04/06/2024

The report provides an analysis of LL and CLO markets and sets out 12 good practices to support decision-making in these markets.

Securities / Derivatives

Marketnode Set to Launch New Funds Settlement Infrastructure

By Editors | 04/06/2024

Fundnode will be ready within June with a network of partners including fund managers, wealth managers, and private banks.

Securities / Derivatives

HKSCC to Enhance Settlement Process for Dual Counter Securities

By Manesh Samtani | 04/06/2024

HKSCC intends to eliminate the need for manual inter-counter transfers in CCASS during settlement of securities traded in multiple currencies.

Securities / Derivatives

SEBI to Review Ownership Structures of Clearing Corporations

By Ajoy K Das | 03/06/2024

An expert committee will review whether majority ownership of clearing corporations by stock exchanges remains appropriate.

Securities / Derivatives

MAS Issues Guidelines for New Derivatives Reporting Regime

By Manesh Samtani | 03/06/2024

The guidelines focus on UTI generation and reporting, as well as re-reporting of contracts that haven’t yet matured when the new regime takes effect.

Fintech / Regtech

ESMA Issues Guidance on Use of AI by Investment Firms

By Nithya Subramanian | 03/06/2024

The guidance focuses on the organisational, conduct of business, and best interest requirements under MiFID II.

Securities / Derivatives

SET Proposes Measures to Curb Inappropriate Trading Behaviours

By Editors | 03/06/2024

The measures are aimed at strengthening market supervision and promoting transparency and fairness for all investors, the SET said.

Enforcement

CSRC Imposes Record Fine on Evergrande’s Flagship Unit

By Mark Johnston | 01/06/2024

The CSRC fined Hengda Real Estate $577mn and banned Evergrande’s founder from the securities market for life.