SECURITIES / DERIVATIVES

Securities / Derivatives

Thailand SEC Set to Overhaul Mutual Fund Regulations

By Pongnut Thanaboonchai | 17/08/2021

The SEC proposes more principle-based and flexible requirements for the establishment of new funds and in the investment decision process.

Enforcement

SAC Punishes 19 Institutional Investors Over IPO Pricing Violations

By Editors | 16/08/2021

The Securities Association of China and Shanghai Stock Exchange found violations of price-setting rules and procedures for STAR Market IPOs.

Securities / Derivatives

SEBI Creates Panel to Explore Move to T+1 Settlement – Report

By Sanday Chongo Kabange | 16/08/2021

A reduction to T+1 is expected to increase market liquidity and trading turnover, while also reducing settlement risk and broker defaults.

Securities / Derivatives

AMAC Halts Approvals of New Real Estate Funds

By Sanday Chongo Kabange | 16/08/2021

Private equity funds were among the last of the stable funding channels available to Chinese property developers amid recent regulatory pressure.

AML / KYC

HKEX Publishes Operational Details for New Investor ID Regime

By Manesh Samtani | 15/08/2021

Market system development and testing will start in Q3 2021 and intermediaries will have to develop their internal systems by the end of Q1 2022.

Securities / Derivatives

SEBI Combines Debt Securities Rules Into Single Regulation

By Ranamita Chakraborty | 15/08/2021

New operational guidelines cover non-convertible securities, securitised debt instruments, security receipts, municipal debt securities and commercial papers.

Big Picture

ETF Structure Proved Resilient to Market Stress: IOSCO

By Ranamita Chakraborty | 15/08/2021

An IOSCO study has helped to “alleviate concerns” about possible financial stability risks or fragilities relating to the ETF structure.

Securities / Derivatives

FMA Files Suit Against Company Director Over Online Posts

By Editors | 15/08/2021

The CEO of NZX-listed New Talisman Gold Mines made false and misleading representations in an online investor forum without disclosing his involvement with the company.

Securities / Derivatives

SEBI Mulls Measures to Enhance Corporate Bond Market

By Ranamita Chakraborty | 13/08/2021

SEBI is considering introducing a market maker programme and a backstop facility to improve liquidity in the corporate bond market, among other measures.