Securities / Derivatives

Securities / Derivatives

Korea Amends Law to Guard Against Unregulated Investment Advice

By Manesh Samtani | 26/01/2024

Unregistered investment advisors are allowed to operate online chatrooms, but only to provide “non-specific investment advice” to a “general audience”.

Market Infrastructure

China Consults on Expanding Foreign Access to Repo Market

By Editors | 26/01/2024

All foreign institutional investors that have already conducted spot trading in the interbank bond market will be allowed to participate in the repo market.

Securities / Derivatives

CFTC Warns Investors of AI-driven Scams

By Nithya Subramanian | 26/01/2024

Investors are warned against falling prey to fraudsters who claim to be able to generate huge returns using bots and other AI-assisted technology.

AML / KYC

India Gives Offshore Funds Time to Disclose Investors

By Mark Johnston | 26/01/2024

SEBI is reportedly allowing offshore funds seven months to disclose the identities of their investors before they are forced to liquidate their holdings.

Securities / Derivatives

KOFIA to Draw Up Measures to Resolve ‘Korea Discount’

By Sanday Chongo Kabange | 25/01/2024

Measures include inducing listed companies to improve their dividend payout ratios and enhance investment returns for shareholders.

Market Infrastructure

BGC Group Wins CFTC Approval to Challenge CME Dominance

By Mark Johnston | 25/01/2024

BGC Group won approval to operate an exchange for US Treasury and SOFR futures and deliver competition across the CME’s US interest rate complex.

Securities / Derivatives

SEBI to Allow Stock Exchange Mechanism for Share Sales to Employees

By Ajoy K Das | 25/01/2024

The new framework for OFS transactions to company employees is expected to cut costs and time of issuance.

Securities / Derivatives

India Permits Direct Listings at GIFT City Exchanges

By Ajoy K Das | 25/01/2024

Indian companies will be able to list on India INX and NSE International Exchange, according to a notification from the government.

Securities / Derivatives

$3.6b of Investments in AIFs Circumvent Regulations: SEBI

By Ajoy K Das | 25/01/2024

The regulator has issued a consultation paper on proposals to enhance trust in AIFs and facilitate ease of doing business.