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Securities / Derivatives
HKMA Directs Banks to Comply with New Rules for Trust Business
By Editors | 29/05/2022
Banks and their subsidiaries have until 1 June 2023 to comply with new regulatory requirements for their trust business and related activities.
Enforcement
SEBI Raids Brokers in Axis Fund Front-running Probe
By Editors | 29/05/2022
Fund managers of Axis Mutual Fund shared trade information with outside brokers and other entities who traded on the information ahead of Axis funds.
Market Infrastructure
HKEX to Launch New IPO Settlement Platform in June 2023
By Editors | 29/05/2022
HKEX will host technical workshops and demonstration sessions in the coming months, and commence FINI user registration and on-boarding in Q4 2022.
Securities / Derivatives
SEBI Issues New Norms to Boost Appeal of ETFs, Index Funds
By Editors | 29/05/2022
ETF managers must appoint at least two market makers. The minimum subscription amount required for new fund offers has been reduced.
Securities / Derivatives
ASIC Proposes to Extend Retail Ban on Binary Options
By Editors | 29/05/2022
ASIC’s product intervention order is due to expire on 7 October 2022. ASIC proposes to extend it until 1 October 2031.
Securities / Derivatives
Japan FSA Revises Rules on Best Execution Policy
By Editors | 28/05/2022
Securities firms are required to provide customers with easy-to-understand descriptions of their best execution policy.
Securities / Derivatives
SSE Proposes to Increase Transparency of Disciplinary Processes
By Editors | 28/05/2022
The SSE is revising its rules on disciplinary actions, reviews and hearings to enhance transparency, standardisation and efficiency.
ESG / Sustainability
US SEC Funds Proposals Aim to Tackle Greenwashing
By ESG Investor | 27/05/2022
Asset managers will be required to justify their use of ESG labels under new proposals from the SEC.
Fintech / Regtech
ISLA, ICMA Advance Work to Digitise Industry Documentation
By Editors | 27/05/2022
ISLA and Linklaters are working to automate securities lending contract negotation. ICMA is looking to digitise repo documentation.
Securities / Derivatives
WFE Sheds Light on Effectiveness of Circuit Breakers
By Editors | 26/05/2022
The study shows that the circuit breakers triggered during the March 2020 volatility contributed to alleviating financial market pressures.
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