Securities / Derivatives

Securities / Derivatives

SEBI Issues New Disclosure Rules for Debt Issuers

By Sanday Chongo Kabange | 11/07/2023

SEBI says the new rules seek to minimise multiple filings of documents by issuers of debt securities.

Securities / Derivatives

PCAOB Commences New Round of Audit Inspections in Hong Kong

By Editors | 11/07/2023

The PCAOB is reviewing audit reports of about a dozen New York-listed Chinese companies – all clients of PwC, EY and Deloitte.

Securities / Derivatives

SEBI Fines Fidelity Unit for Breach of FPI Regulations

By Ranamita Chakraborty | 10/07/2023

SEBI says Fidelity failed to provide updates on material information and engaged in trading activities without a valid registration as a foreign portfolio investor.

Capital / Liquidity

China Cuts Public Offering Funds Fee Rate

By Jill Wong | 10/07/2023

A CSRC work plan has capped management fees at 1.2 percent and custodian fees at 0.2 percent per annum.

Enforcement

SEBI Probes Software Misuse by NSE Trading Members

By Editors | 09/07/2023

Some high-frequency traders reportedly used special software that enabled them to submit orders to NSE without paying transaction fees.

Enforcement

ASIC Fines Openmarkets Record $4.5m for Compliance Failures

By Sanday Chongo Kabange | 06/07/2023

ASIC says Openmarkets did not carry out effective trade surveillance, and banned its former acting head of trading for three years.

Market Infrastructure

EBA Publishes Validation Requirements for Initial Margin Models

By Editors | 06/07/2023

The standards include a “pragmatic and simplified” supervisory procedure applicable to smaller counterparts as well as easier documentation, governance and outsourcing requirements.

Securities / Derivatives

SEBI Proposes to Require FPIs to Route Bond Trades to RFQ Platforms

By Editors | 06/07/2023

SEBI intends to mandate FPIs to carry out at least 10 percent of their total secondary market trades in corporate bonds via RFQ platforms.

Securities / Derivatives

Bursa Malaysia Assumes Investor Relations Function

By Sanday Chongo Kabange | 06/07/2023

Bursa Malaysia will serve as the single point of reference for investor relations matters. MIRA is discontinued.