Securities / Derivatives

Fintech / Regtech

Depositories to Develop Platform for Monitoring Security Creation: SEBI

By Editors | 18/08/2021

SEBI is asking issuers, debenture trustees, and credit rating agencies to carry out necessary changes to ensure readiness to use the new DLT-based platform.

Securities / Derivatives

Australia Consults on New Financial Reporting Rules For Super Funds

By Sanday Chongo Kabange | 18/08/2021

Super funds will be required to prepare and lodge financial reports for each financial year and half-year with ASIC, and make their reports publicly available.

Securities / Derivatives

China’s NAFMII Orders Bond Underwriters to End Price War

By Sanday Chongo Kabange | 17/08/2021

Lead bond underwriters are required to report their fees to NAFMII on a quarterly and annual basis and set up internal management systems to ensure their fees reflect market rates.

Securities / Derivatives

CSRC Tightens Scrutiny on Snowball Derivatives Products – Report

By Editors | 17/08/2021

The CSRC has instructed brokerage firms to tighten risk controls on Snowball derivatives and ensure their risks are fully disclose to investors.

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.