Securities / Derivatives

Securities / Derivatives

NZ FMA Publishes First Risk Assessment of Fund Management Sector

By Editors | 23/01/2023

Risk management practices and controls used by fund managers reduce overall risk but “pockets of relatively higher risk” still exist.

Securities / Derivatives

Bangladesh: Chittagong Bourse Seeks to Launch FX Derivatives

By Editors | 21/01/2023

Currently, there are no regulations in Bangladesh allowing for the introduction of currency or other financial derivatives.

Securities / Derivatives

SEBI Proposes New Fund Blocking Mechanism for Securities Trades

By Editors | 21/01/2023

SEBI said the proposed ASBA-like mechanism for secondary markets is designed to safeguard client assets from broker misuse and defaults.

ESG / Sustainability

ISSB “Straying” from Core Purpose with Scope 3 Inclusion

By ESG Investor | 20/01/2023

Despite investors calling for disclosure of all emissions, there are concerns the board is reaching beyond its remit.

Market Infrastructure

Exchanges Publish Draft Rules to Expand Stock Connect

By Editors | 20/01/2023

The draft rules cover changes to align the Mainland and Hong Kong’s trading calendars and expand the scope of stocks that can be traded via Stock Connect.

Enforcement

SEBI Probes Nippon Mutual Fund, Yes Bank Transactions – Report

By Editors | 20/01/2023

SEBI is investigating whether investments in Yes Bank perpetual bonds were made as part of a special deal to benefit Ambani Group companies.

Securities / Derivatives

JPMorgan, StanChart Win New China Approvals

By Editors | 20/01/2023

JPMorgan won approval to take full ownership of its fund management venture. StanChart won approval to set up a new securities brokerage.

Securities / Derivatives

CSRC Optimises Rules for PE Funds by Securities, Futures Firms

By Editors | 19/01/2023

The rules are aimed at improving the ability of private equity investments to serve the real economy and support innovative businesses.

Capital / Liquidity

Implementation of 2013 NBFI Reforms Are Incomplete: FSB

By Editors | 19/01/2023

Jurisdictions have not finished implementing Basel III reforms to mitigate spillovers between banks and non-bank financial entities.