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Securities / Derivatives
Enforcement
China’s Largest Brokerage Under Scrutiny for IPO Sponsor Role
By Editors | 26/03/2024
Citic Securities did not “directly reply” to a query from the SZSE on whether an IPO applicant it was sponsoring had overly concentrated shareholdings among a few individuals.
Securities / Derivatives
SEBI Directs AMCs to Stop Channelling Funds into Overseas ETFs
By Ajoy K Das | 26/03/2024
AMCs have to stop accepting money from investors to invest in overseas ETFs as an existing $1bn investment limit is close to being breached.
Fintech / Regtech
Malaysia SC Enhances PLC Surveillance With AI Technology
By Editors | 26/03/2024
An internally developed AI-powered tool called ‘PLC360’ can predict the likelihood of misconduct and identify emerging trends and supervisory concerns.
Securities / Derivatives
SGX to Start Disclosing Commodity Positions of Traders in Q3
By Editors | 26/03/2024
SGX will start disclosing commitment of traders reports weekly, initially for iron ore, rubber and freight, to attract more overseas participation in its markets.
Securities / Derivatives
TSE Launches New Initiative to Encourage Cross-border IPOs
By Manesh Samtani | 26/03/2024
The “TSE Asia Startup Hub” will recruit promising companies from across Asia and provide them support and encouragement to list in Japan.
Big Picture
ESMA Publishes Industry Feedback on Adoption of T+1 in Europe
By Mark Johnston | 26/03/2024
The feedback was mixed. ESMA will seek to better understand the suitability, costs and benefits of a shorter settlement cycle and publish a final report by Jan 2025.
Securities / Derivatives
Bursa Malaysia Announces Listing of First Business Trust
By Editors | 26/03/2024
The business trust listing structure is particularly suitable for capital-intensive infrastructure assets that have stable cash flows.
Enforcement
CSRC Conducts Surprise Inspections of Fund Companies – Reports
By Mark Johnston | 25/03/2024
State media says it is not uncommon for regulators to conduct irregular inspections of fund companies, especially to promote good governance.
Securities / Derivatives
SGX Proposed to Refine Cap on Clearing Member Liability
By Editors | 25/03/2024
The proposed cap is designed to provide clearing members certainty on their potential exposures when multiple defaults occur.
Securities / Derivatives
HKMA, SFC Planning Sept 2025 Rollout of New Derivatives Reporting Regime
By Manesh Samtani | 25/03/2024
HKMA and SFC propose to adopt a ‘big bang’ approach to implementation, rolling out the UTI, UPI, CDE and ISO 20022 requirements on 29 September 2025.
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