Securities / Derivatives

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.

Market Infrastructure

DTCC Urges Readiness for MAS Derivatives Reporting Requirements

By Sanday Chongo Kabange | 12/08/2021

Finance companies, subsidiaries of banks in Singapore, insurers and CMS licence holders will come into scope for reporting from 1 October.

Securities / Derivatives

HKEX to Launch of New Options on Futures Contracts

By Editors | 12/08/2021

Before offering OOF products to clients, participants should ensure system readiness and that end clients understand the settlement mechanism and risk involved.

Securities / Derivatives

Australia Passes Amendments to Continuous Disclosure Laws

By Sanday Chongo Kabange | 12/08/2021

Companies can provide forward-looking guidance to the market without the fear of class actions if forecasts are found to be inaccurate.

Securities / Derivatives

CSRC to Increase Scrutiny on Fund Manager Governance

By Editors | 12/08/2021

The CSRC will revise certain rulesets and establish a new evaluation system to assess the quality of corporate governance at individual firms.

AML / KYC

BitMEX to Pay $100m in Civil Penalties for US Regulatory Breaches

By Editors | 12/08/2021

BitMEX unlawfully accepted orders and funds from US customers to trade cryptocurrencies and failed to have in place an AML and user verification programme.

Securities / Derivatives

Bursa Malaysia to Enhance Framework for Main Market Advisers

By Editors | 11/08/2021

The amendments will make available a wider pool of qualified corporate finance advisers to act as a Recognised Principal Adviser on the Main Market.