Securities / Derivatives

AML / KYC

Thailand to Launch Standard Form for Capital Market Access

By Editors | 13/03/2021

From 1 July, all intermediaries will use a standard form for account opening, providing investors easier access to stocks, debt instruments, mutual funds and derivatives.

AML / KYC

SEBI Rolls Out KYC Registry Extension to Legal Entities

By Editors | 13/03/2021

Regulated entities are directed to upload KYC data for accounts of legal entities to the Central KYC Registry.

Fintech / Regtech

Philippine SEC Launches New Online Payments System

By Editors | 13/03/2021

The ‘SEC Payment Portal’ allows for the payment of registration fees, penalties and other fees using  other cashless payment options.

Enforcement

S. Korea Amends Bill to Protect Private Equity Fund Investors

By Ranamita Chakraborty | 11/03/2021

The revision bill addresses issues with feeder funds, cross investing between PEFs managed by the same entity, and inappropriate sales activities involving coercive sales tactics.

Securities / Derivatives

Bangladesh Amends Listing Rules to Appease Retail Investors

By Ranamita Chakraborty | 11/03/2021

BSEC is proposing revisions to the listing rules to make the capital market more attractive for individual investors.

Securities / Derivatives

Chinese State-backed Funds Intervene to Calm Market

By Editors | 11/03/2021

The government reportedly blocked social media mentions of the stock market while local media outlets downplayed recent market turbulence.

Capital / Liquidity

PBOC to Limit Short-term Bond Issuance by Securities Firms

By Editors | 10/03/2021

Short-term bonds issued by securities firms will subject to a limit of 60% of net capital. The eligibility criteria have also been strengthened.

Market Infrastructure

HKMA Issues Guidance for Bond Connect FX Settlement Banks

By Editors | 09/03/2021

Hong Kong FX Settlement Banks should ensure that FX conversion and hedging transactions arise from “genuine and reasonable” Bond Connect investment needs.

Securities / Derivatives

OSE, TOCOM Propose Revised Contingency Plans for Derivatives

By Sanday Chongo Kabange | 09/03/2021

The OSE and TOCOM have proposed revisions clarifying the standards by which they will halt and resume trading in the event of a disruption in the derivatives market.