Securities / Derivatives

Securities / Derivatives

SEBI Restricts Activities of AIFs Using Priority Distribution Models

By Editors | 26/11/2022

Effective immediately, AIF schemes with priority distribution models are barred from accepting fresh investments and investing in new companies.

Market Infrastructure

CSRC Issues Technology Standards for Securities, Futures Firms

By Editors | 26/11/2022

Seven new standards include guidance to help firms improve information security, protect key data including client information, and ensure the continuity of their IT services.

ESG / Sustainability

ISDA Identifies Opportunities to Standardise SLD Terms

By Editors | 26/11/2022

ISDA describes sustainability-linked derivatives as typical derivatives transactions with an ESG add-on that affects payment flows.

Securities / Derivatives

Canada Study Shines Spotlight on How Gamification Influences Investors

By Mark Johnston | 25/11/2022

In the study, participants who were rewarded with points for buying and selling stocks made 39% more trades, even though the points had “negligible value.”

Securities / Derivatives

SEBI Proposes Changes to Stock Buyback Process

By Editors | 25/11/2022

SEBI proposes to phase out the open market route as a buyback mechanism and to increase the limit for buybacks via the tender offer route.

Securities / Derivatives

Taiwan to Allow Foreign Investors to Pledge Local Shares for Loans

By Editors | 25/11/2022

Foreign institutional investors will be able to borrow funds from domestic financial institutions using local equities as collateral.

Enforcement

HK Court Orders Investment Company to Compensate Clients

By Editors | 25/11/2022

The investment firm sold clients’ securities without authorisation, misappropriated the proceeds, and fabricated documents to conceal the transactions.

Market Infrastructure

Swap Connect Launch Facing Likely Delay – Report

By Editors | 25/11/2022

Opening China’s USD 5 trillion swap market to foreign investors will enable them to better manage interest rate risks arising from Chinese bond investments.

Securities / Derivatives

ASIC Issues Updated Guidance on ETP Naming Conventions

By Editors | 25/11/2022

ETP naming conventions are divided into two levels: primary labels which indicate product type, and secondary labels which indicate specific risks or strategies.