SECURITIES / DERIVATIVES

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    Securities / Derivatives

    SEBI to Allow NRIs, OCIs to Invest More in GIFT City via FPIs

    By Editors | 27/08/2023

    SEBI proposes to allow IFSCA regulated FPIs to accept higher levels of investment from Indian citizens residing overseas.

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    Market Infrastructure

    Vietnam to Launch New Securities Trading System in December

    By Editors | 26/08/2023

    The new system has already been delayed several years due to the Covid-19 pandemic and other factors. Securities firms are still behind schedule on testing.

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    ESG / Sustainability

    Indonesia’s OJK Issues New Rules for Carbon Trading

    By Editors | 26/08/2023

    The rules set out how OJK will supervise carbon trading ahead of the planned launch of Indonesia’s first carbon exchange by end-September.

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    AML / KYC

    HKMA to Explore Regulatory Changes to Promote Bond Tokenisation

    By Sanday Chongo Kabange | 26/08/2023

    The report suggests new requirements could be introduced for DLT platforms, covering areas from KYC and AML compliance to BCPs and cyber risk assessments.

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    Enforcement

    US Banks Agree to Settle Stock Lending Lawsuit for $500m

    By Editors | 25/08/2023

    Goldman Sachs, JPMorgan Chase, Morgan Stanley and UBS denied wrongdoing but agreed to settle the lawsuit to avoid further litigation.

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    Securities / Derivatives

    Allianz, Blackstone Receive New Regulatory Approvals in China

    By Editors | 24/08/2023

    Allianz Global Investors received approval to set up an onshore fund management company. Blackstone received a QDLP licence.

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    Enforcement

    BSEC Forms Committee to Investigate Stock Market Rumours

    By Mark Johnston | 24/08/2023

    Recent rumours have involved the removal of the floor price, the resignation of BSEC’s chairman, and institutional investor sell-offs.

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    Enforcement

    UK Energy Regulator Fines Morgan Stanley Over WhatsApp Use

    By Editors | 24/08/2023

    This is the first-ever fine issued in the UK for failures to record and retain electronic communications relating to energy market trades.

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    Capital / Liquidity

    CPMI-IOSCO Takes Stock of CCP Practices for Addressing Non-default Losses

    By Editors | 24/08/2023

    CPMI and IOSCO intend to publicly consult on further guidance for CCPs on addressing NDLs arising from scenarios like system outages and cyber attacks.

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    Securities / Derivatives

    SEC Adopts New Rules for Private Fund Advisers

    By Editors | 24/08/2023

    The new rules will help promote greater competition and thereby efficiency, said SEC chair Gary Gensler.

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