Securities / Derivatives

Securities / Derivatives

ASIC Extends Product Intervention Order Targeting CFDs

By Editors | 12/04/2022

Since the product intervention order took effect in March 2021, ASIC has observed few losses, margin close-outs, and negative balance occurrences affecting retail client.

Securities / Derivatives

FSA Issues Guidance for Asset Managers Moving to Japan

By Editors | 12/04/2022

Regulatory requirements have also been amended to allow foreign securities companies entering the Japanese market to submit their registration applications in English.

Securities / Derivatives

CSRC Takes Steps to Boost Confidence in Capital Market

By Manesh Samtani | 11/04/2022

The CSRC pledged to support companies’ capital raising efforts, encourage asset managers to buy up equities, and encourage listed companies to buy back shares and raise dividends.

Market Infrastructure

Work Advances to Bring RMB-denominated Stocks to Hong Kong

By Manesh Samtani | 11/04/2022

Hong Kong official Christopher Hui said a feasibility study has been completed and the next step is to engage with mainland regulators and relevant organisations.

Securities / Derivatives

SEBI Standardises Industry Classification Framework for CRAs

By Editors | 11/04/2022

The standardised framework will help enable uniformity in the classifications being used across sectors and in the securities market, SEBI said.

Big Picture

Global Standard-setters for Audit Need More Diverse Funding

By Editors | 11/04/2022

A new paper calls for financial commitments from investors, regulators, stock exchanges, national standard-setters and auditors to support the work of international audit and ethics standard-setters.

Securities / Derivatives

HSBC Raises Stake in China Securities Venture to 90pc

By Editors | 10/04/2022

HSBC Qianhai Securities was set up in 2017 and primarily engages in securities underwriting, brokerage and investment advisory services

Securities / Derivatives

Thai SEC to Allow Use of Foreign Custodians in DR Issuance

By Editors | 10/04/2022

Under revised guidelines, depository receipt issuers can directly appoint a global custodian or foreign agent to hold overseas securities.

Securities / Derivatives

ASX Proposes to Enhance Rules for SPPs, Material Placements

By Editors | 09/04/2022

ASX is seeking views on two alternative bases proposed for conducting a scale-back on security purchase plans, and proposes new disclosure requirements for material placements.