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Securities / Derivatives
Enforcement
Korea FSS Set to Issue Interim Findings from Short Selling Probe
By Sanday Chongo Kabange | 05/05/2024
Ten global investment banks including Nomura and Credit Suisse are expected to face fines totalling more than $73.7mn.
Securities / Derivatives
China Stock Exchanges Finalise New Rules on Listing Access
By Editors | 05/05/2024
The rules say more on-site inspections of listing applicants will be conducted and a risk warning will be introduced for companies that underpay dividends.
Securities / Derivatives
CSRC Revises STAR Market Criteria to Boost R&D Investment
By Mark Johnston | 05/05/2024
The guidelines were revised to require STAR Market companies to have more R&D investment, more invention patents and a higher income growth rate.
Securities / Derivatives
SEBI Eases Rules to Enable Digital Onboarding by Portfolio Managers
By Ajoy K Das | 04/05/2024
A requirement for distributors of portfolio management services to register with the APMI is also being mandated.
Securities / Derivatives
UK Consults on Guidance for New Derivatives Reporting Rules
By Editors | 04/05/2024
The consultation seeks feedback on new Q&As and corresponding changes to the UK EMIR validation rules, which take effect from 30 September.
Securities / Derivatives
CFTC May Revoke US Permissions to Trade TAIEX Futures
By Editors | 04/05/2024
TSMC has accounted for more than a 30 percent weighting in the TAIEX for 45 trading sessions in a row.
Securities / Derivatives
Taiwan Unveils Measures to Enhance Regulatory System for ETFs
By Mark Johnston | 03/05/2024
The FSC will review ETF sales documents. SITCA will strengthen advertising reviews. Indices tracked by ETFs will have to be approved.
Big Picture
Risks in APAC Private Credit Sector are Limited: HKMA Research
By Manesh Samtani | 03/05/2024
However, further monitoring is warranted as private credit funds are increasingly open-ended, using leverage, and loosening their underwriting standards.
Securities / Derivatives
CSRC Issues Guidelines for Listing Transfers to Beijing Exchange
By Editors | 03/05/2024
The guidelines focus on transfers of listings from the NEEQ to improve the overall quality of BSE-listed companies.
Securities / Derivatives
Indonesia OJK Issues New Short Selling Regulations
By Editors | 03/05/2024
OJK said the regulations will ensure robust risk management and regulatory compliance by securities companies.
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