Securities / Derivatives

Securities / Derivatives

HKEX to Automate Large Open Position Reporting Process

By Editors | 11/06/2020

Starting in September, participants will be able to fully automate their current LOP reporting process, using the Secure File Transfer Protocol (SFTP) facility.

Securities / Derivatives

SEBI Relaxes Norms to Fast-track Further Public Offers

By Editors | 11/06/2020

FPOs will still be allowed to proceed if show cause notices or prosecution proceedings are still ongoing, or it securities law violations have been recently settled.

Enforcement

Korea: Banks, Brokers Agree Plan to Recover Lime Asset Losses

By Editors | 11/06/2020

Twenty firms, including banks and brokers, will set up a new entity to manage the estimated 1.7tr won in assets frozen by Lime Asset Management since October.

Market Infrastructure

High-Level Forum Charts Course to Achieve EU Capital Markets Union

By Editors | 11/06/2020

In a new report, the EU’s High-Level Forum on capital markets union offers specific recommendations on developing deeper, more dynamic and more harmonised markets across EU member states.

Securities / Derivatives

ICMA Releases Guidance for Issuers of Sustainability-Linked Bonds

By Editors | 10/06/2020

Sustainability-linked bonds are performance-based bond instruments where the issuer is committing to future improvements in sustainability outcomes within a predefined timeline.

Securities / Derivatives

Thailand SEC Supports LuxSE Listings by Domestic Firms

By Editors | 10/06/2020

Thai bond issuers can list their securities on LuxSE’s BdL or Euro MTF; or alternatively obtain a profile listing on the SOL to gain visibility on the Luxembourg Green Exchange.

Securities / Derivatives

Indian Court Halts Franklin Templeton Fund Liquidation

By Editors | 10/06/2020

Franklin Templeton had planned to allow unitholders to vote on whether to allow six shuttered funds to be liquidated, but the Court says it must first release a forensic audit report on the funds in question.

Securities / Derivatives

SFC to Narrow Scope of OTC Derivatives Licensing Regime

By Manesh Samtani | 10/06/2020

The OTC derivatives licensing regime will not capture corporate treasury activities of non-financial groups, portfolio compression services, and certain portfolio management activities.

Securities / Derivatives

Regulatory Change a Challenge for Hong Kong Fund Managers

By Editors | 10/06/2020

Overregulation is an issue for some fund managers in Hong Kong, but the industry is also calling for greater regulatory clarity around GBA initiatives and ESG standards, according to a KPMG-HKIFA survey report.