Securities / Derivatives

Securities / Derivatives

SEBI to Require Registration from Execution-only Mutual Fund Platforms

By Mark Johnston | 14/06/2023

SEBI to require online platforms for mutual fund direct plans to obtain registration from 1 September 2023.

Securities / Derivatives

CSRC Proposes New Rules for Fund Investment Advisory Industry

By Editors | 13/06/2023

The draft rules seek to strengthen supervision and control of fund investment consulting businesses, and improve services for investors.

Market Infrastructure

Bursa Malaysia Expands List of Securities Approved for Short-Selling

By Sanday Chongo Kabange | 13/06/2023

Bursa Malaysia is expanding its list of securities approved for securities borrowing, securities lending and short selling.

Big Picture

ISLA Warns of Basel III Impacts on Securities Finance Market

By Editors | 13/06/2023

ISLA expresses concerns about the potential adverse impact of Basel III on the global securities lending market.

Enforcement

Japan SESC Seeks Penalties Against Banks That Sold Risky Bonds

By Sanday Chongo Kabange | 12/06/2023

The SESC is asking the FSA to penalised Chiba Bank and its subsidiaries for selling high-risk structured bonds to novice investors.

ESG / Sustainability

WFE Declares Milestone Achievement on Sustainability

By Ranamita Chakraborty | 12/06/2023

For the first time, every exchange surveyed by WFE participated in at least one ESG initiative and engaged in at least one WFE Sustainability Principle.

Securities / Derivatives

CSRC Grants New Fund Manager Licence to Schroders

By Editors | 12/06/2023

Schroders becomes the fourth foreign-owned asset manager to set up businesses in China, after BlackRock, Fidelity Investments, and Neuberger Berman.

Securities / Derivatives

SEBI Permits Mutual Funds Greater Participation in Repo Market

By Mark Johnston | 11/06/2023

Mutual funds can participate in repo transactions involving commercial papers and certificates of deposit.

Securities / Derivatives

CSRC Vows to Crack Down on Stock Market related Misconduct

By Mark Johnston | 11/06/2023

CSRC chairman Yi Huiman said the regulator will strengthen monitoring and supervision of equities trading, including in relation to new practices such as quantitative trading.