Securities / Derivatives

AML / KYC

HKEX Publishes Operational Details for New Investor ID Regime

By Manesh Samtani | 15/08/2021

Market system development and testing will start in Q3 2021 and intermediaries will have to develop their internal systems by the end of Q1 2022.

Securities / Derivatives

SEBI Combines Debt Securities Rules Into Single Regulation

By Ranamita Chakraborty | 15/08/2021

New operational guidelines cover non-convertible securities, securitised debt instruments, security receipts, municipal debt securities and commercial papers.

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.