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Securities / Derivatives
UBS, HSBC Facilitate First QFII Commodity Derivatives Trades in China
By Editors | 14/10/2022
China has recently expanded its QFII programme to include more than 40 commodity futures and options contracts, as well as CFFEX stock options.
Securities / Derivatives
Taiwan FSC Further Tightens Short Selling Rules
By Editors | 14/10/2022
The FSC already tightened its short selling regulations at the beginning of this month to stabilise the local stock market.
Securities / Derivatives
US SEC Approves Update to Electronic Recordkeeping Rule
By Editors | 13/10/2022
The amendments add an audit-trail alternative allowing electronic records to be preserved in a way that permits recreation if original records are altered, over-written, or erased.
Fintech / Regtech
IOSCO Offers Guidance on Curbing Online Misconduct
By Editors | 13/10/2022
IOSCO’s new report offers recommendations to address risks from online marketing and distribution of financial products targeting retail investors.
Enforcement
SFC Fines Asset Manager Over European Rule Breaches
By Editors | 12/10/2022
ARCM failed to implement adequate systems and controls to monitor its short position and ensure it was properly reported and disclosed to the public.
ESG / Sustainability
Singapore: SIAS Joins Fight Against Greenwashing
By Editors | 12/10/2022
Chief executive David Gerald said the Securities Investors Association of Singapore working to enhance its guidance for annual reports to combat greenwashing.
Market Infrastructure
UK Court Allows Legal Actions Against LME to Proceed
By Editors | 12/10/2022
The LME says the decision to allow the Elliott and Jane Street cases to proceed is “entirely procedural” and “in no way a ruling on the merits” of the claims.
Market Infrastructure
EMIR Refit Technical Standards Published in Official Journal
By Editors | 12/10/2022
Under the standards, reporting of the CDE, LEIs, ISINs, UTIs and UPIs to trade repositories are mandated, in XML format using ISO 20022.
Enforcement
UK FCA Queries Banks About Staff Messaging Practices
By Editors | 12/10/2022
The queries come after US regulators collected over $2bn in combined penalties from firms for failures to maintain, preserve, or produce staff communication records.
Market Infrastructure
FSB Unveils Proposed Global Regulatory Framework for Crypto
By Editors | 12/10/2022
The framework covers all crypto-asset activity, as well as associated issuers and service providers, that have the potential to pose financial stability risks.
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