SECURITIES / DERIVATIVES

Fintech / Regtech

SIFMA Urges SEC Not to Adopt Proposed Rules for Predictive Data Analytics

By Mark Johnston | 11/10/2023

SIFMA said the proposed rules would impose unreasonable and unworkable requirements on brokers and advisors and limit their ability to use technology.

Fintech / Regtech

SEBI Grants MCX Approval to Launch New Platform

By Mark Johnston | 11/10/2023

The new web-based commodity derivatives platform will launch on 16 October after being put on hold last month.

Securities / Derivatives

Korea Mulls Curbs on Stock Market Speculation by Retail Investors

By Editors | 11/10/2023

Governor Lee Bok-hyun said the FSS is looking to crack down on leveraged buying by retail investors and margin call risks.

ESG / Sustainability

An Exploration of Greenwashing Risks in Investment Fund Disclosures

By Nicole Gehrig | 11/10/2023

Nicole Gehrig discusses concerns about greenwashing in the investment management industry and recommendations to address problematic disclosures.

Enforcement

FSS Korea Strengthens Capital Markets Inspection System   

By Sanday Chongo Kabange | 11/10/2023

Market participants that engage in illicit conduct will face immediate deregistration or licence revocation for even a single offence.

ESG / Sustainability

ICMA Publishes Analysis of Greenwashing Risks

By Editors | 10/10/2023

ICMA says greenwashing is not prevalent in the sustainable bond market, but is an issue in the sustainable funds space.

AML / KYC

US SEC Adopts Shorter Deadlines for Reporting Beneficial Ownership

By Editors | 10/10/2023

Investors will be required to report in five days rather than ten days if they beneficially own more than 5 percent of a stock.

ESG / Sustainability

OJK Issues New Regulation on Sustainable Debt Securities and Sukuk

By Mark Johnston | 10/10/2023

The new regulation covers various types of debt and sukuk securities based on environmental and social values.

Capital / Liquidity

SEBI Imposes Capital Rule on Execution-only Mutual Fund Platforms

By Editors | 10/10/2023

Category-II EOPs will be required to maintain at least INR 1 million (USD 12,000)  in capital with the stock exchange.