SECURITIES / DERIVATIVES

Securities / Derivatives

IOSCO Issues Op Resilience Guidance for Markets, Intermediaries

By Editors | 12/07/2022

IOSCO has set out observations and lessons learned from the pandemic response to help inform future operational resilience arrangements.

Market Infrastructure

MAS Proposes to Exempt Some Market Operators from ACH/RCH Rules

By Editors | 11/07/2022

The exemption is for market operators that verify transactions and calculate transacting parties’ obligations, but do not actually clear or settle trades.

Capital / Liquidity

RBI Announces Measures to Cushion Falling Rupee

By Editors | 09/07/2022

The RBI has exempted FPIs from a cap on investments in government securities and corporate bonds. FPIs can also buy short-duration corporate debt.

Securities / Derivatives

Bursa Malaysia Announces Launch of Shariah Discretionary Trading

By Editors | 09/07/2022

Discretionary trading based on Shariah principles is now permitted at Bursa Malaysia. Malacca Securities is the first to offer the service.

Enforcement

FSC Korea Penalises Shinhan Bank for Lime Fund Mis-selling

By Editors | 08/07/2022

Shinhan Bank is being suspended for three months from selling new private equity fund products and fined KRW 5.7 billion.

Securities / Derivatives

Alder to Leave SFC to Take Up Role as FCA Chair

By Editors | 08/07/2022

Ashley Alder became the SFC’s CEO in October 2011. His new appointment as chair of the UK FCA will start in January 2023.

Crypto / Digital Assets

IOSCO Outlines Planned Work to Address Crypto Market Risks

By Editors | 07/07/2022

The roadmap will initially focus IOSCO’s Fintech Taskforce on work to analyse and respond to market integrity and investor protection concerns.

Securities / Derivatives

Australia Reviews Impact of 2020 Ban on LIC Stamping Fees

By Editors | 07/07/2022

Two years ago, the government banned LICs and LITs from paying stamping fees to AFS licensees for help secure investors for capital raisings.

Big Picture

IMF Calls for Strengthening of Capital Markets Regulation

By Editors | 07/07/2022

Securities regulators have generally not seen increases in their resources despite their expanding regulatory perimeters and raised supervisory expectations.