Securities / Derivatives

Securities / Derivatives

SFC Offers Guidance on Managing Risk in Trading Activities

By Manesh Samtani | 04/04/2023

The guidance covers operational risk management, remote booking risk management, and data risk management, based on a thematic review.

Market Infrastructure

CSRC Finalises New Rules for Futures Exchanges

By Editors | 03/04/2023

New requirements cover product listings, programmatic trading, internal governance, risk monitoring, emergency planning, and financial management, among other areas.

Securities / Derivatives

CSRC Tightens Rules for Bond Funds to Reduce Risk

By Editors | 03/04/2023

New bond funds can only invest up to 20 percent of portfolios in bonds rated AA+, compared with 50 percent previously.

ESG / Sustainability

Hong Kong Exchange Lists First Ever Catastrophe Bond

By Editors | 03/04/2023

The $350mn catastrophe bond offers protection against losses related to earthquake risks in Chile over the next three years.

Securities / Derivatives

Bursa Malaysia Finalises Rules for LEAP-to-ACE Listing Transfers

By Editors | 03/04/2023

Bursa Malaysia’s Julian Hashim said the amendments offer a clearer roadmap for LEAP companies aiming to graduate to the ACE Market.

Securities / Derivatives

JPX to Launch Index of Stocks that Focus on Value Creation

By Editors | 03/04/2023

The index will comprise 150 Prime Market companies that are expected to create value based on financial performance or market valuation.

Crypto / Digital Assets

US Futures SRO Issues New Rule for Crypto Activities

By Editors | 03/04/2023

The compliance rule covers anti-fraud, just and equitable principles of trade, disclosure, and supervision requirements for spot bitcoin and ether trading.

Securities / Derivatives

Citadel Seeking Licence to Relaunch Japan Hedge Fund Office

By Editors | 03/04/2023

Citadel shut down its Japan operations during the 2008 GFC, but is seeking to reopen in Tokyo by the end of the year.

Enforcement

US SEC Charges Two Over SPAC Insider Trading Scheme

By Sanday Chongo Kabange | 02/04/2023

The duo used non-public information in advance of at least 7 merger announcements involving SPACs to earn illicit profits of more than $3.4mn.