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Securities / Derivatives
Enforcement
JPMorgan to Pay Penalty to 3rd Regulator in Surveillance Case
By Nithya Subramanian | 03/05/2024
Following fines from the OCC and Fed announced in March, JPM said it has to pay $100m to a third regulator, identified in reports as the CFTC.
Fintech / Regtech
US CFTC Appoints First-Ever Chief AI Officer
By Sanday Chongo Kabange | 03/05/2024
The role will involve leading the development of the CFTC’s enterprise data and AI strategy and advancing its data-driven capabilities.
Securities / Derivatives
SEBI Allows NRIs, OCIs to Fully Own GIFT City FPIs Entities
By Ajoy K Das | 03/05/2024
Non-resident Indians and overseas citizens of India will be allowed to own up to 100 percent in FPIs, compared to just 50 percent previously.
Enforcement
SFC Starts Insider Dealing Prosecution Against Hedge Fund
By Sanday Chongo Kabange | 03/05/2024
The SFC is prosecuting Segantii Capital Management, its founder Simon Sadler, and former trader Daniel La Rocca for insider dealing.
Securities / Derivatives
Korea FSC Unveils Draft Guidelines for “Value-up” Programme
By Manesh Samtani | 03/05/2024
The programme is designed to encourage listed companies to improve corporate governance, long term value creation, and shareholder returns.
Securities / Derivatives
RBI Issues Draft Framework for Electronic Trading Platforms
By Ajoy K Das | 02/05/2024
ETPs operated from outside India by an operator incorporated outside India may seek authorisation to provide platform access to Indian residents.
Crypto / Digital Assets
Capital Markets Regulators Committed to Innovating With Tokenisation
By Nithya Subramanian | 02/05/2024
The UK FCA’s Rupert Harrison and Thai SEC’s Kris Tontipiromya discussed their tokenisation work at the recent Digital Assets Asia 2024.
Capital / Liquidity
PBOC Directs Banks to Cut Exposures to Long Duration Bonds
By Editors | 01/05/2024
The PBOC sees a mismatch between market prices and the economic outlook, and is trying to prevent further downward pressure on the yuan.
Capital / Liquidity
BCBS Proposes Counterparty Credit Risk Management Guidelines
By Editors | 01/05/2024
The guidelines seek to address weaknesses in CCR management, as demonstrated in the Archegos failure and other recent episodes of NBFI distress.
Securities / Derivatives
SEBI Enables AIFs to Better Support Infrastructure Projects
By Ajoy K Das | 01/05/2024
AIFs are now allowed to pledge equity shares of investee companies in the infrastructure sector to enable them to obtain project finance.
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