Securities / Derivatives

    Big Picture

    Exchanges Can Help Minimise Broker-Dealer Operational Risk

    By Manesh Samtani | 13/09/2021

    A paper by Citadel Securities, NYSE, Nasdaq, MIAX, MEMX, and BOX says exchanges can provide an additional layer of protection on top of broker-dealers’ own risk controls.

    Securities / Derivatives

    Thai SEC Eases Red Taps for Foreign Issuers Seeking IPO

    By Pongnut Thanaboonchai | 12/09/2021

    The change will reduce the burden of raising funds for foreign companies and help boost the competitiveness of Thai capital markets, the SEC said.

    Market Infrastructure

    RBC Capital Markets to Launch FX Infrastructure in Singapore

    By Editors | 12/09/2021

    RBC says the new e-FX server and pricing engine was developed with support from MAS and will be launched by year-end.

    Securities / Derivatives

    Hong Kong SPAC Framework to Prohibit Retail Access – Report

    By Editors | 12/09/2021

    Hong Kong’s SPAC framework will reportedly be issued for public consultation this month, proposing that only professional investors be allowed to participate.

    Enforcement

    KRX to Temporarily Exempt Market Makers from Obligations

    By Editors | 12/09/2021

    KRX says the FSS warning of fines against nine market makers will hamper the functioning of the market making system for a while.

    Securities / Derivatives

    SEBI Revises Position Limits on Currency Derivatives

    By Editors | 12/09/2021

    The revised position limits apply to domestic clients, NRIs, and Category II FPIs that are individuals, family offices, and corporates.

    Uncategorised

    HKEX to Launch New Mobile Market Data Service

    By Editors | 11/09/2021

    Users will have access to Level 1 live streaming Hong Kong securities market data from their mobile devices.

    Market Infrastructure

    Cross-boundary Wealth Management Connect Launched

    By Manesh Samtani | 10/09/2021

    The PBOC, HKMA and AMCM have published the implementation details to support the launch of the Cross-boundary Wealth Management Connect Pilot Scheme.

    Enforcement

    CSRC Probes Haitong Securities in Financial Reporting Fraud Case

    By Editors | 10/09/2021

    Haitong is suspected of negligence and violations of law and regulations when it served as financial adviser on a deal to help a client on a backdoor listing deal.

    ESG / Sustainability

    MAS to Set New Disclosure Standards for Retail ESG Funds

    By Manesh Samtani | 10/09/2021

    Enhanced disclosures will be required from retail ESG funds next year. NUS will launch a new centre of excellence this year to groom ESG talent.

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