Securities / Derivatives

AML / KYC

SEBI Allows Indian Fund Managers to Participate in FPIs

By Editors | 07/08/2021

KYC norms that required FPIs and institutional investors to disclose their personal information to SEBI have also been relaxed.

Securities / Derivatives

FSC Korea Issues Notice on Rule Changes for PE Funds

By Sanday Chongo Kabange | 07/08/2021

A new classification system will distinguish between “general PEFs” and “institution-only PEFs”. PEFs will be subject to increased monitoring and external audits.

Securities / Derivatives

Intra-day NAV is Applicable for ETF Transactions: SEBI

By Ranamita Chakraborty | 06/08/2021

The mutual fund industry told SEBI the closing NAV may “not be relevant” for direct transactions in ETF units with large investors.

Enforcement

CSRC Penalises Yongcheng Coal, Executives for Fraud

By Sanday Chongo Kabange | 05/08/2021

Yongcheng Coal and its executives were fined for fraudulent disclosures and for inflating its books. The company defaulted on a CNY 1 billion bond last year.

Securities / Derivatives

SEBI Asks RTAs to Build Common Platform for Fund Investors

By Editors | 05/08/2021

SEBI has asked India’s two RTAs, KFinTech and CAMS, to develop a new dedicated platform for investors to transact in mutual funds.

Market Infrastructure

Structured Products Landscape in a Post-pandemic APAC

By Abdessamad Khaled | 05/08/2021

Bloomberg’s Abdessamad Khaled and Gaurav Kapoor discuss how structured products have performed and the role automation plays in maintaining stability.

Securities / Derivatives

Deutsche Bank Set to Regain Ability to Sponsor HK IPOs

By Ranamita Chakraborty | 05/08/2021

Deutsche Bank has reportedly secured two senior hires who will be able to act as IPO principals, subject to regulatory approval.

Securities / Derivatives

Australia Launches Inquiry into Stock Ownership by Large Funds

By Editors | 04/08/2021

The government is said to be concerned about the growing influence of super funds as large shareholders of ASX listed companies.

Securities / Derivatives

CSRC Promises Increased Predictability of Policy Measures

By Sanday Chongo Kabange | 04/08/2021

The CSRC says it will seek closer cooperation with the US SEC and enhance the transparency and predictability of policy measures.