Securities / Derivatives

    Enforcement

    SEBI Fines BSE, NSE for Failure to Detect Karvy Fraud

    By Editors | 17/04/2022

    Karvy Stock Broking misused INR 23 billion worth of securities belonging to more than 95,000 clients, pledging them with 8 banks to raise INR 8.5 billion for its own use.

    Securities / Derivatives

    SEBI Issues Risk Management Framework for New EGR Segment

    By Editors | 17/04/2022

    The framework sets out a system for stock exchanges to collect margins from trading members to cover potential losses from trading in Electronic Gold Receipts.

    Securities / Derivatives

    US SEC Proposes Registration Requirement for Security-Based SEFs

    By Mark Johnston | 16/04/2022

    The rules will improve transparency over total return swaps, the instruments partly responsible for last year’s blowup at Archegos Capital Management.

    Securities / Derivatives

    BSEC Tightens Circuit Breaker Limit for Dhaka SME Board

    By Editors | 15/04/2022

    The SME board commenced trading last October and has seen volume spikes as a result of a waiver from a requirement for traders to register.

    Enforcement

    Tokyo Prosecutors Indict SMBC Nikko Securities Deputy President

    By Editors | 14/04/2022

    The former deputy president is suspected of colluding with other staff to illegally manipulate stock prices to keep block trade deals with clients from falling through.

    Securities / Derivatives

    SEBI Seeks to Loosen Restrictions on Mutual Fund Sponsors

    By Editors | 13/04/2022

    A new working group will recommend new eligibility criteria that could allow private equity funds and other pooled investment vehicles entities to sponsor mutual funds.

    Securities / Derivatives

    CSRC Accelerates Work to Update Rules for Overseas Listings

    By Darien Choong | 13/04/2022

    To enable US regulators to participate in domestic on-site inspections, CSRC chairman Yi Huiman said China may need to become a signatory to IOSCO’s EMMoU.

    Securities / Derivatives

    Indonesia Stock Exchange to Allow Structured Warrant Listings

    By Editors | 13/04/2022

    New regulations allow exchange members to issue structured warrants for listing and trading on the IDX. Structured warrants must have a liquidity provider.

    Market Infrastructure

    HKEX Set to Launch New Electronic Communication Platform

    By Editors | 12/04/2022

    Phase 1 of the rollout will allow exchange participants to use the new platform to download day-end trade files and closing price files, starting from 25 April.

    ESG / Sustainability

    SGX Set to List First ETF Based on New Low Carbon Index

    By Editors | 12/04/2022

    The ETF will allow investors to buy just one unit at a time, a feature aimed at attracting investment from younger and newer investors.

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