Securities / Derivatives

Fintech / Regtech

Chinese Stock Exchanges Ramp Up Scrutiny of Quant Funds

By Mark Johnston | 22/02/2024

A new monitoring scheme and reporting requirements have been introduced for computer-driven quant funds.

Securities / Derivatives

Taiwan Enhances Fund Manager Rules on Conflict of Interests

By Mark Johnston | 22/02/2024

The FSC introduced seven new and refined six existing measures to prevent conflicts of interest involving managers of investment trusts.

Securities / Derivatives

China: Firms Told to Not Be Net Sellers at Market Open and Close

By Manesh Samtani | 22/02/2024

Some asset managers and prop trading desks of brokerages are prohibited from being net sellers during the first and last 30 minutes of trading.

Securities / Derivatives

Thailand: SET to Enhance Supervision of Listed Companies

By Sanday Chongo Kabange | 21/02/2024

The SET will improve its mechanism for warning investors when a company has financial problems and faces delisting.

Securities / Derivatives

HKEX Introduces Exemption for Dealing in Suspended Securities

By Sanday Chongo Kabange | 21/02/2024

An exemption to the restriction on dealing in suspended securities has been introduced to facilitate stock option settlement.

Enforcement

FSS Korea Clarifies Role in Seeking Redress for Investors

By Editors | 21/02/2024

FSS responds to calls for a court, rather than the regulator, should prepare compensation plans for investors in loss-making ELS products.

Securities / Derivatives

Indonesia OJK Outlines Plans for Developing Capital Market

By Mark Johnston | 21/02/2024

OJK plans measures to increase retail investor participation, boost market liquidity, and introduce new derivatives products.

Crypto / Digital Assets

HKMA Sets Out Expectations on Tokenised Product Offerings

By Manesh Samtani | 20/02/2024

HKMA circular sets out expectations for the sale and distribution of tokenised products in respect of due diligence, disclosure and risk management.

ESG / Sustainability

Thai SEC Proposes Principles for “Green Investment Trusts”

By Mark Johnston | 20/02/2024

The SEC aims to use GITs as a tool to encourage investment in projects that conserve or preserve the environment.