Securities / Derivatives

Securities / Derivatives

SFC, HKMA Release Findings on Investment Product Sales

By Editors | 08/10/2021

Firms sold investment products with an aggregate transaction amount of HKD 5.7 trillion during 2020, with the participation of over 700,000 investors.

Securities / Derivatives

Taiwan: Twelve Fund Managers to Receive Policy Concessions

By Darien Choong | 08/10/2021

Under two separate initiatives, eight foreign fund managers and four investment trust companies will receive preferential treatment for one year.

ESG / Sustainability

Action Needed to Scale Up ESG Investing, say IMF, OECD

By ESG Investor | 07/10/2021

The IMF, World Bank and OECD are working on classification systems to harmonise and support the development of sustainable finance markets.

Securities / Derivatives

Bursa Allows Investors to Accept General Offers Electronically

By Editors | 07/10/2021

Previously, investors were required to physically submit a transfer form to their brokers and an offer document for acceptance to the share registrar.

Market Infrastructure

Hong Kong Announces Initiatives to Bolster Financial Hub Status

By Manesh Samtani | 07/10/2021

Chief Executive Carrie Lam announced measures to improve the stock market listing regime and enable RMB-denominated securities in Hong Kong.

AML / KYC

HK ICAC, FRC to Collaborate on Financial Market Malpractice

By Editors | 07/10/2021

The new MoU sets out a framework for cooperation, covering case referrals, joint investigations, information exchange, mutual investigative assistance and training.

Capital / Liquidity

Derivatives Are “Essential” to Carbon Markets: ISDA

By Editors | 06/10/2021

Regulatory action is needed to address disproportionately high capital requirements that would be imposed on carbon certificates by FRTB.

Securities / Derivatives

SEBI Proposes Adjustments to IPO Book Building Framework

By Ranamita Chakraborty | 06/10/2021

SEBI says some issuers have been setting “extremely narrow” price bands to camouflage fixed price issues as book built issues.

Fintech / Regtech

ISDA to Develop Standard Documentation for Crypto Derivatives

By Mark Johnston | 06/10/2021

ISDA CEO Scott O’Malia says a new working group has been formed to develop standard documentation for crypto derivatives.