Securities / Derivatives

    Securities / Derivatives

    SEBI Requires Segregation, Monitoring of Client Collateral

    By Editors | 27/07/2021

    The framework seeks to address previous instances of brokers defaulting and misusing clients’ securities and funds.

    Fintech / Regtech

    New Body Formed to Promote Open Standards for Capital Markets

    By Sanday Chongo Kabange | 27/07/2021

    The GLML Foundation is developing general-purpose legal markup language as an open data standard for capital markets.

    Securities / Derivatives

    Thailand SEC Consults on Securities Law Revisions

    By Sanday Chongo Kabange | 27/07/2021

    The amended Securities and Exchange Act will promote cooperation between financial market regulators including the SEC, BOT and OIC.

    AML / KYC

    SFC Calls on Industry to Report Suspected Ramp-and-dump Activity

    By Manesh Samtani | 26/07/2021

    Ramp-and-dump scams now account for about half of the market manipulation cases being investigated by the SFC. Overseas investors also being targeted.

    Securities / Derivatives

    Chinese Firms Redirect IPOs From New York to Hong Kong

    By Sanday Chongo Kabange | 26/07/2021

    Chinese authorities are considering severe penalties for Didi Chuxing, which proceeded with its New York IPO despite being asked to first submit to a cybersecurity review.

    Securities / Derivatives

    Shanghai to Test Yuan in Cross-border Financial Products

    By Sanday Chongo Kabange | 26/07/2021

    Shanghai’s Pudong New Area will be able to freely use the yuan in cross-border financial products in a new pilot programme.

    Securities / Derivatives

    SGX Expands Into FX OTC Space with Another Acquisition

    By Editors | 26/07/2021

    SGX is acquiring FX trading platform MaxxTrader, paving the way for it to build an integrated and scalable FX OTC marketplace anchored in Singapore.

    Securities / Derivatives

    Taiwan Launches Two New Trading Boards for Startups

    By Manesh Samtani | 23/07/2021

    Only qualified investors can trade on the new boards, including individuals that meet a net worth or annual income requirement.

    Securities / Derivatives

    SET Seeks to Allow Derivative Warrants to Use Foreign Stocks

    By Ranamita Chakraborty | 22/07/2021

    The SET will ask the Thai SEC to amend regulations to allow derivative warrants to use foreign stocks as their underlying assets.

    Securities / Derivatives

    Japan FSA Consults on Draft Guidelines for Social Bonds

    By Manesh Samtani | 22/07/2021

    The guidelines are aimed at promoting the issuance of social bonds by the private sector and preventing ‘social washing’.

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