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Securities / Derivatives
Market Infrastructure
MAS Issues Additional Guidance for New Derivatives Reporting Regime
By Manesh Samtani | 16/02/2024
New FAQs are provided to support implementation of the new OTC derivatives reporting regime, which comes into force in October.
Securities / Derivatives
SEBI Proposes Registration Requirement for PMS Distributors
By Ajoy K Das | 16/02/2024
The proposal is in line with the mutual fund industry where distributors are required to be registered with AMFI.
Enforcement
Korean Prosecutors Search HSBC, BNP Offices in Short Selling Probe
By Sanday Chongo Kabange | 16/02/2024
The searches are part of a mandatory criminal investigation for violations of the Capital Markets Act.
Market Infrastructure
ASIC Proposes Further Changes to OTC Derivatives Reporting Rules
By Manesh Samtani | 16/02/2024
Among other things, the changes will simplify the exchange-traded derivatives exclusion and the scope of foreign entity reporting, as well as remove “alternative reporting”.
ESG / Sustainability
Top ASEAN Exchanges to Jointly Develop Sustainability Ecosystem
By Ranamita Chakraborty | 15/02/2024
The exchanges will reconvene in July to finalise the ecosystem’s implementation details, governance framework and operating structure.
Securities / Derivatives
US SEC Chair Warns Companies Against ‘AI Washing’
By Nithya Subramanian | 15/02/2024
Gary Gensler has asked companies looking to raise money from the public to be truthful and transparent about their use of AI and the associated risks.
Market Infrastructure
CPMI, IOSCO Propose “Effective” VM Practices for Cleared Markets
By Editors | 15/02/2024
The consultative report describes eight examples of effective practices for CCPs and their clearing members regarding variation margin processes and transparency.
ESG / Sustainability
Japan Becomes First Sovereign to Issue Climate Transition Bonds
By Editors | 15/02/2024
Japan sold JPY 800 billion of 10-year climate transition bonds and plans to sell a further tranche of 5-year bonds later this month.
Securities / Derivatives
Asset Managers Moving India Funds to GIFT City – Report
By Ajoy K Das | 14/02/2024
Eight of the ten largest Indian asset managers have either relocated or are planning to relocate to GIFT City.
AML / KYC
FinCEN to Extend AML/CFT Requirements to Investment Advisers
By Editors | 14/02/2024
Investment advisers would have to implement risk-based AML/CFT programmes and report suspicious activity to FinCEN.
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