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Securities / Derivatives
Sanctions
Russia Considers Decree to Enable Investors to Unblock Assets
By Mark Johnston | 28/08/2023
Under the plan, interested foreign investors would be able to buy Russian assets currently frozen in Europe.
Capital / Liquidity
SFC Finalises Risk Management Guidelines for Futures Brokers
By Sanday Chongo Kabange | 28/08/2023
The new guidelines will take effect from 25 February 2024. An additional 12 months will be provided for certain changes.
Enforcement
Fed Terminates 2017 Cease-and-desist Order Against HSBC
By Mark Johnston | 27/08/2023
HSBC no longer has to provide progress reports on its efforts to improve internal controls or manage risks in connection with its FX trading activities.
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.
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.
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.
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.
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.
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.
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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