Securities / Derivatives

Securities / Derivatives

Sri Lanka SEC to Procure New Surveillance System

By Duruthu E Chandrasekera | 24/09/2020

The SEC is planning to hire a consultant to assess its existing surveillance system and make recommendations on procuring a new system.

Market Infrastructure

FCA Consults on Regulatory Approach for International Firms

By Editors | 24/09/2020

The FCA is seeking views on its approach to authorising international firms that wish to provide financial services in the UK post-Brexit.

Market Infrastructure

FSDC Calls For HK-listed Derivatives Tracking A-Shares

By Manesh Samtani | 24/09/2020

Once the new A-share based derivatives products are launched in Hong Kong, they should be opened up to Mainland investors via Stock Connect.

Securities / Derivatives

FMA Blocks CLSA Premium NZ From Offering Derivatives

By Editors | 24/09/2020

The licence conditions will remain in place until CLSA Premium NZ lodges its audit and assurance reports for 2019.

Securities / Derivatives

ASIC Issues Report on Debt Capital Raising Conflicts of Interest

By Editors | 24/09/2020

ASIC’s report, in alignment with a report from IOSCO, offers better practices to manage conflicts of interest and conduct risks in debt capital market transactions.

Securities / Derivatives

HKEX Preparing to Launch New IPO Platform, FiNI

By Editors | 24/09/2020

The new IPO platform will streamline current IPO processes and shorten the time between IPO pricing and the listing of new shares.

Securities / Derivatives

SFC Identifies Cybersecurity Deficiencies at Internet Brokers

By Editors | 23/09/2020

The SFC found deficiencies relating to two-factor authentication, data encryption, session timeout, monitoring and surveillance, among other areas.

Market Infrastructure

China to Further Relax Foreign Access to Bond Market

By Manesh Samtani | 23/09/2020

The PBOC and SAFE are consulting on new rules that will reduce restrictions on outward remittances for institutional investors, among other rule changes.

Securities / Derivatives

SEBI Issues Risk Management Rules for Negative Commodity Prices

By Editors | 23/09/2020

Clearing corporations are directed to ensure their systems are ready to implement the alternate risk management framework by 21 November.