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Securities / Derivatives
Securities / Derivatives
Korea to Set New Fee Distribution Standards for Securities Lending
By Editors | 31/08/2024
Securities firms will have to transparently disclose their fee structures to investors and link fee distribution to the revenues generated from securities lending.
Crypto / Digital Assets
Nasdaq Seeks Regulatory Approval to Launch Bitcoin Options
By Editors | 31/08/2024
Nasdaq said the options will enable investors to hedge their cryptocurrency investments. NYSE also applied for a similar approval earlier this year.
Securities / Derivatives
Taiwan Allows Foreign Investors to Designate Multiple Custodians
By Editors | 31/08/2024
Foreign institutional investors are now allowed to appoint up to four custodians to handle their dealings in Taiwan securities markets.
Securities / Derivatives
US SEC Adopts New Reporting Rules for Investment Funds
By Editors | 31/08/2024
Mutual funds and ETFs will have to report portfolio holdings monthly rather than quarterly. Swing pricing rules weren’t included in the amendments.
Enforcement
CFTC Penalises Nasdaq Futures Over False Disclosures
By Editors | 30/08/2024
Nasdaq Futures, which operated an energy commodity futures market from 2015-2018, did not fully disclose details of an incentive programme.
Securities / Derivatives
RBI Introduces Scheme to Widen Green Bond Trading in GIFT City
By Ajoy K Das | 30/08/2024
Eligible participants include persons residing outside India, IBUs of foreign banks, and certain regulated funds or schemes.
Crypto / Digital Assets
WFE Offers Recommendations on Crypto Custody Practices
By Editors | 30/08/2024
The recommendations draw lessons from traditional finance to guide crypto custody providers in creating a safer space for investors.
Enforcement
CFTC Fines Swiss Energy Trader $48m for Market Manipulation
By Nithya Subramanian | 30/08/2024
TOTSA TotalEnergies Trading sold physical EBOB at below-market prices to benefit its large short position in the futures market.
Securities / Derivatives
SEBI to Raise Net Worth Requirements for Merchant Bankers
By Ajoy K Das | 30/08/2024
The current net worth requirement is around $6mn. SEBI proposes to raise this 10x for those handling main board issues.
Enforcement
ASIC Fines CLSA for Providing Incorrect Regulatory Data
By Sanday Chongo Kabange | 30/08/2024
The failures arose from a change to CLSA’s global order management system that was “not adequately scoped and tested” before implementation.
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