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Securities / Derivatives
Capital / Liquidity
ECB Identifies Weak Risk Management at EU Banks
By Editors | 18/01/2023
The ECB identified “material shortcomings” in how banks manage counterparty credit risks. Banks should “promptly address weaknesses”.
Fintech / Regtech
China Releases New Data Standards for Public Fund Disclosures
By Editors | 18/01/2023
Funds should use technology to standardise and digitise disclosures of information on publicly-offered securities investment funds.
Enforcement
Korea: Tougher Penalties for Unfair Trading Expected Within H1
By Editors | 18/01/2023
Those engaged in unfair trading activities would face either a prison sentence of at least one year or a fine of between three and five times profits.
Securities / Derivatives
SEBI Proposes to Allow PE Funds to Sponsor Mutual Funds
By Editors | 18/01/2023
The changes will draw fresh capital into the fund industry, encourage more competition, and allow easier exits for existing sponsors.
Market Infrastructure
ESMA Adds TAIFEX to List of Recognised Third Country CCPs
By Editors | 18/01/2023
The recognition allows European financial institutions to apply the minimum risk weight of 2 percent for exposures to TAIFEX derivatives.
Enforcement
China Further Signals End to Tech Sector Crackdown
By Manesh Samtani | 18/01/2023
Didi passed its security review and is allowed to resume onboarding new customers. Government entities are acquiring “golden shares” in some tech giants.
Securities / Derivatives
Two Chinese Airlines to Voluntarily Delist from NYSE
By Sanday Chongo Kabange | 17/01/2023
The voluntary delistings are a recognition that Chinese state firms will be unable to provide US regulators full access to their audit records as required.
Securities / Derivatives
India to Complete Transition to T+1 on 27 January
By Editors | 17/01/2023
All large-cap and blue-chip stocks will move to the shortened T+1 settlement cycle on 27 January. Market liquidity and trading volumes are expected to improve.
ESG / Sustainability
Thai SEC Issues New Climate Risk Guidelines for Asset Managers
By Sanday Chongo Kabange | 17/01/2023
The voluntary guidelines are intended to help asset managers assess and disclose the impacts of climate risks on their portfolios.
Securities / Derivatives
Shanghai Seeks to Add ‘Green Equities’ to Stock Connect
By Editors | 17/01/2023
The Shanghai regulator is also seeking to explore the possibility of adding bond targets to the Hong Kong Stock Connect.
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