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Securities / Derivatives
Securities / Derivatives
UK FCA Consults on Regulatory Approach for Overseas Funds
By Editors | 05/12/2023
The new regime will provide a “streamlined process” for overseas funds to market to UK retail customers if the government finds a jurisdiction equivalent.
ESG / Sustainability
CFTC Proposes Standards for Carbon Credit Derivatives
By Editors | 05/12/2023
The guidance adopts standards from the ICVCM’s Core Carbon Principles and introduces quality standards for carbon offsets tied to derivative contracts.
ESG / Sustainability
IOSCO Takes Stock of Measures to Address Greenwashing
By Manesh Samtani | 04/12/2023
IOSCO describes the challenges of addressing greenwashing and provides an overview of initiatives undertaken in various jurisdictions to tackle this risk.
ESG / Sustainability
IOSCO Proposes 21 Good Practices to Promote VCM Integrity
By Manesh Samtani | 04/12/2023
The Good Practices cover regulatory frameworks, primary market issuance, secondary market trading, and use and disclosure of use of carbon credits.
Market Infrastructure
RBI, BOE Agree to Cooperate on CCIL Information Exchange
By Manesh Samtani | 03/12/2023
The BOE recognises the “primacy” of the RBI in supervising India-based CCPs and agrees to rely on home country regulation and supervision.
Securities / Derivatives
Bursa Malaysia Launches Investor Relations Support Programme
By Editors | 03/12/2023
The so-called “IR4U programme” provides tools and resources to help Malaysian listed companies develop their investor relations function.
Market Infrastructure
SGX Announces First Listings Under Shanghai ETF Link
By Manesh Samtani | 03/12/2023
ETF listed on SGX will give investors exposure to high dividend paying Shanghai stocks. ETF listed on SSE will track Indian and Southeast Asian tech companies.
Enforcement
FINRA Fines BofA Securities for Spoofing in Treasury Markets
By Editors | 03/12/2023
FINRA said a former BofA Securities supervisor and junior trader conducted 717 spoof trades, and the firm’s systems were not able to detect such activity.
Securities / Derivatives
Korea FSS to Tighten Rules on Sale of Bond Investments
By Editors | 03/12/2023
The rule changes are needed to ensure investors understand the risks and transaction costs of bond investments, the FSS said.
Crypto / Digital Assets
Third Phase of CBDC Project “Helvetia” Gets Underway
By Manesh Samtani | 01/12/2023
The pilot programme allows participating banks to settle digital bonds and repo transactions against wholesale CBDC on a DvP basis.
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