Securities / Derivatives

Securities / Derivatives

Thailand SEC Streamlines Process for Mutual Fund Approvals

By Sanday Chongo Kabange | 11/06/2021

Asset managers can start submitting applications for approval to establish a new mutual fund using a new online system from 1 June.

Securities / Derivatives

ASIC Stresses Quality of Financial Reports, Disclosures

By Ranamita Chakraborty | 11/06/2021

The assumptions underlying estimates and assessments for financial reporting purposes should be reasonable, supportable, realistic, and not overly optimistic or pessimistic.

Market Infrastructure

Regulatory Harmonisation Critical to OTC Derivatives Reporting

By Priya Kundamal | 11/06/2021

The fragmentation of trade reporting rules and the lack of a common data set across jurisdictions hinders transparency and global risk monitoring, writes DTCC’s Priya Kundamal.

Securities / Derivatives

SEBI Updates Rules for Centralised Corporate Bond Database

By Sanday Chongo Kabange | 11/06/2021

The updated rules aim to further streamline the centralised database and provide further ease of access of information for investors.

Market Infrastructure

SGX Invites Feedback on Rule Amendments for ‘GIFT Connect’

By Ranamita Chakraborty | 11/06/2021

The proposed amendments seek to clarify the obligations of SGX-DT trading members when accessing GIFT Connect to trade Nifty derivatives.

Enforcement

SFC Suspends GEO Securities Executive for 7.2 Months

By Sanday Chongo Kabange | 11/06/2021

GEO’s breaches were attributable to Lun Sheung Nim’s failure to discharge his duties as a responsible officer and member of the senior management.

Securities / Derivatives

Sri Lanka Cabinet Approves Bill to Enhance Capital Market

By Sanday Chongo Kabange | 10/06/2021

The bill is aimed at enhancing market regulation, improving enforcement mechanisms, and creating a more efficient capital market with better governance standards.

Securities / Derivatives

CSRC Grants Securities License to DBS Joint Venture

By Sanday Chongo Kabange | 10/06/2021

DBS Securities China, 51 percent owned by DBS Bank, has official commenced business operations under a new securities licence.

Securities / Derivatives

HKEX, FRC to Strengthen Collaboration on Financial Reporting Quality

By Editors | 09/06/2021

A new MOU establishes a collaborative framework which will ultimately provide better investor protection through high quality financial reporting.