Securities / Derivatives

    Securities / Derivatives

    NZ FMA Concerned Over Retail Involvement in Stock Lending

    By Editors | 09/09/2022

    The FMA says investors should make sure the risks and returns are properly explained before they allow their shares to be lent out.

    Securities / Derivatives

    CPMI, IOSCO Consider Ways to Boost Client Clearing Access

    By Editors | 08/09/2022

    Practices to facilitate porting need to be further developed to ensure clients can continue to access clearing in the event of an intermediary default.

    Securities / Derivatives

    FSC Korea to Revise Rules for Issuing Convertible Preference Shares

    By Editors | 08/09/2022

    The revisions follow rule changes made last year to prevent convertible bonds from being used to unfairly dilute small shareholders.

    Big Picture

    ASIFMA Offers Guidance on Identifying Labour-related ESG Risks

    By Manesh Samtani | 08/09/2022

    ASIFMA’s new paper says open dialogue and engagement is needed for investors to better understand the labour practices of investee companies.

    ESG / Sustainability

    Sri Lanka SEC, CSE Sign MOU with Accounting Body on ESG

    By Duruthu E Chandrasekera | 08/09/2022

    MOUs with CFA Society and CA Sri Lanka were signed as a prelude to the establishment of an ESG index by the CSE.

    Securities / Derivatives

    HKEX to Enhance Obligations for Stock Options Market Makers

    By Editors | 08/09/2022

    A first phase of enhancements will take effect on 31 October 2022. A second phase will be implemented in H1 2023, subject to market readiness.

    Market Infrastructure

    JPX, CFFEX Agree to Cross-Promote Derivatives Products

    By Editors | 08/09/2022

    The arrangements includes the promotion of derivatives trades to enhance the liquidity of ETFs listed under the Japan-China ETF Connectivity scheme.

    Enforcement

    Australia: ABN AMRO Penalised Over Block Trading Rule Breach

    By Editors | 08/09/2022

    ABN AMRO Clearing Sydney registered ASX SPI 200 Futures block trades that included split allocations below the Minimum Value Threshold.

    Securities / Derivatives

    Tokyo Bourse to Allow First Active ETF Listings by Mid-2023

    By Editors | 08/09/2022

    The TSE is reportedly looking to modify a rule which currently only permits index-linked (passive) ETFs to be listed on the exchange.

    Fintech / Regtech

    Korea to Launch KRX-Operated Digital Securities Market

    By Editors | 07/09/2022

    Security token guidelines will be published in Q4 2022, and rule changes will be made next year to establish a system for issuance and distribution.

    JOIN OUR NEWSLETTER

    A daily selection of top stories from the Regulation Asia editorial team