Securities / Derivatives

Securities / Derivatives

HKEX Amends Listing Rules to Match CSRC’s Overseas Listing Requirements

By Editors | 24/07/2023

Mainland issuers seeking a listing in Hong Kong will have to submit to HKEX a CSRC notification that confirms their completion of the Mainland filing procedures.

Capital / Liquidity

SEBI Proposes Prudential Norms for Clearing Corporations’ Exposure

By Ranamita Chakraborty | 24/07/2023

India’s securities regulator is looking to protect clearing corporations through prudential regulations to limit their concentration risk.

AML / KYC

SEBI to Start Requiring FPIs to Provide LEI to Trade in India

By Editors | 23/07/2023

SEBI plans to give non-individual FPIs six months to provide an LEI, failing which their accounts will be blocked for further purchases.

Securities / Derivatives

SSE, SZSE Introduce Ratings System for IPO Sponsors

By Editors | 22/07/2023

China’s primary exchanges adopt performance ratings for sponsors to combat fraud, enhancing capital market integrity and investor confidence.

Capital / Liquidity

FSS Korea Cautions Securities Firms Against Real Estate-related Risks

By Mark Johnston | 21/07/2023

The financial watchdog met with local securities firms to assess and manage real estate-related risks amid concerns of rising overdue loans.

Enforcement

NZ Court Imposes Highest Ever Penalties for Market Manipulation

By Sanday Chongo Kabange | 21/07/2023

Two former senior executives of  Oceania Natural Ltd were ordered to pay a combined N$2.09mn for market manipulation.

Enforcement

FSS Korea Steps Up Efforts to Eradicate Unfair Trading Practices

By Mark Johnston | 21/07/2023

The FSS governor pledges to crack down on any illegal activities in the capital market. A notice outlines misconduct at some investment firms.

ESG / Sustainability

SEBI Introduces ESG Sub-category for Equity Schemes

By Ranamita Chakraborty | 21/07/2023

The securities regulator’s decision was driven by industry requests and the increasing demand for green financing in India.

Securities / Derivatives

SEBI, NSE, BSE Revamp Framework for ESM Stocks

By Mark Johnston | 21/07/2023

The existing ESM framework had restricted the trading of ESM stocks to once a week. Under the new framework, trading can take place on all trading days.