SECURITIES / DERIVATIVES

Fintech / Regtech

The Future of Investment Advice

By Siva Ramachandran | 04/09/2023

Policy experts from CFA Institute discuss key regulatory and technology trends that will impact how investment advice is delivered.

Securities / Derivatives

CSRC Approves Fund Sales Licence for HSBC Subsidiary

By Editors | 04/09/2023

The HSBC subsidiary becomes the first wealth management firm to hold both an insurance brokerage and a fund sales licence in China.

Market Infrastructure

SEBI Proposes Formation of New Agency to Validate Performance Claims

By Sanday Chongo Kabange | 04/09/2023

SEBI proposes to create a new independent body that would validate performance claims made by intermediaries such as fund managers and investment advisers.

Market Infrastructure

Japan FSA Revises OTC Derivatives Reporting Requirements

By Manesh Samtani | 04/09/2023

The FSA is making changes to its guidelines to remove the “UPI” and “Delta” requirements from the 1 April 2024 go-live date.

Securities / Derivatives

English Disclosure Still Inadequate in Japan Market: Survey

By Editors | 04/09/2023

The TSE said it plans to initiate discussions on measures that would make English disclosures mandatory for Prime Market companies.

Enforcement

Taiwan: Cathay Financial Units Fined for Connectivity Issues

By Editors | 04/09/2023

Cathay Securities and Cathay Futures failed to perform capacity tests and application system stress testing operations, the FSC said.

Securities / Derivatives

New Rules for CFD Trading Take Effect in Korea

By Editors | 03/09/2023

Only four of 13 local securities firms that offered CFD trading have decided to resume the service under the new regulations.

Fintech / Regtech

China Issues New Data Security Rules for Money Brokers

By Editors | 03/09/2023

The rules set out requirements for money brokers that provide data services to customers. A list of permitted data recipients is published.

Enforcement

OCCRP Report Deals Fresh Blow to India’s Adani Group

By Mark Johnston | 03/09/2023

The OCCRP says Adani Group breached India’s minimum public shareholding rules. SEBI is waiting for information from five foreign jurisdictions to confirm.