Securities / Derivatives

Market Infrastructure

ESMA to Simplify Cash Penalties Process Under CSDR

By Editors | 24/11/2022

The amendments simplify the cash penalties process by putting CSDs in charge of collection and distribution, including for CCP-cleared transactions.

Big Picture

ASIFMA Offers Recommendations for Korean Capital Markets

By Manesh Samtani | 23/11/2022

ASIFMA offers three recommendations to further strengthen Korea’s capital markets and improve access for global institutional investors.

Securities / Derivatives

SEBI to Enhance Listed Company Disclosure Requirements

By Mark Johnston | 23/11/2022

SEBI proposes new thresholds to quantify what constitutes a material event requiring disclosure, among other enhancements.

Market Infrastructure

SFC Proposes Further Changes to Position Limit Regime

By Editors | 23/11/2022

The SFC proposes to expand the list of specified contracts and introduce an excess position limit regime for clearing participants.

Press Release

Regulation Asia Awards for Excellence 2022 – Results Announcement

By Editors | 23/11/2022

Regulation Asia held its fifth annual Awards ceremony on 22 November 2022. Here we explain our methodology and announce the winners for the year.

Market Infrastructure

CSRC Drafts Rules to Strengthen Exchange Bond Market

By Editors | 22/11/2022

The draft rules strengthen obligations for bond intermediaries to improve their due diligence practices and serve as gatekeepers.

Securities / Derivatives

Manulife Granted Approval to Fully Own China Mutual Fund Business

By Editors | 22/11/2022

Manulife is the first foreign firm to receive approval to convert an existing joint venture into a wholly-owned fund management company.

Enforcement

Bursa Malaysia Punishes Two for Short-Selling Activities

By Editors | 22/11/2022

The two dealer’s representatives engaged in intra day short-selling activities in client accounts in 2020 when such activity was temporarily prohibited.

Securities / Derivatives

CBIRC Issues Rules for Banks Participating in Private Pension Business

By Editors | 22/11/2022

Banks with a net tier-1 capital of more than CNY 100 billion and that meet prudential regulatory requirements  can start personal pension business.