Securities / Derivatives

Securities / Derivatives

Bangladesh CSE, India MCX Partner to Establish Commodity Exchange

By Mark Johnston | 19/04/2022

The new commodity exchange in Bangladesh will introduce standardised commodity contracts and help address concerns over manipulation in domestic commodity trades.

Enforcement

SEBI Fines BSE, NSE for Failure to Detect Karvy Fraud

By Editors | 17/04/2022

Karvy Stock Broking misused INR 23 billion worth of securities belonging to more than 95,000 clients, pledging them with 8 banks to raise INR 8.5 billion for its own use.

Securities / Derivatives

SEBI Issues Risk Management Framework for New EGR Segment

By Editors | 17/04/2022

The framework sets out a system for stock exchanges to collect margins from trading members to cover potential losses from trading in Electronic Gold Receipts.

Securities / Derivatives

US SEC Proposes Registration Requirement for Security-Based SEFs

By Mark Johnston | 16/04/2022

The rules will improve transparency over total return swaps, the instruments partly responsible for last year’s blowup at Archegos Capital Management.

Securities / Derivatives

BSEC Tightens Circuit Breaker Limit for Dhaka SME Board

By Editors | 15/04/2022

The SME board commenced trading last October and has seen volume spikes as a result of a waiver from a requirement for traders to register.

Enforcement

Tokyo Prosecutors Indict SMBC Nikko Securities Deputy President

By Editors | 14/04/2022

The former deputy president is suspected of colluding with other staff to illegally manipulate stock prices to keep block trade deals with clients from falling through.

Securities / Derivatives

SEBI Seeks to Loosen Restrictions on Mutual Fund Sponsors

By Editors | 13/04/2022

A new working group will recommend new eligibility criteria that could allow private equity funds and other pooled investment vehicles entities to sponsor mutual funds.

Securities / Derivatives

CSRC Accelerates Work to Update Rules for Overseas Listings

By Darien Choong | 13/04/2022

To enable US regulators to participate in domestic on-site inspections, CSRC chairman Yi Huiman said China may need to become a signatory to IOSCO’s EMMoU.

Securities / Derivatives

Indonesia Stock Exchange to Allow Structured Warrant Listings

By Editors | 13/04/2022

New regulations allow exchange members to issue structured warrants for listing and trading on the IDX. Structured warrants must have a liquidity provider.