Securities / Derivatives

    Enforcement

    US SEC Charges Five Asian Traders for Market Manipulation

    By Editors | 21/06/2019

    The SEC has charged three Malaysians, one Singaporean and one Chinese national with violating antifraud and market manipulation provisions.

    Securities / Derivatives

    SEBI Tightens Rules on Handling of Client Securities

    By Editors | 21/06/2019

    SEBI has issued new rules governing the management and disposal of client securities held by trading and clearing members.

    Securities / Derivatives

    Malaysia to Loosen Regulatory Reins in Capital Markets

    By Editors | 21/06/2019

    As market discipline strengthens, the Securities Commission and Bursa Malaysia will “proportionately scale down the intensity of regulatory discipline”.

    Securities / Derivatives

    Vietnam Government Bond Futures Set for 4 July Launch

    By Editors | 20/06/2019

    Government bond futures will be the second derivatives market product launched by the Hanoi Stock Exchange since it started index futures in August 2017.

    Market Infrastructure

    FSC, FSS Agree to Audit KRX, Disagree on Scope

    By Editors | 20/06/2019

    The FSS and FSC have agreed to conduct an audit of KRX by year end, though they disagree on its possible scope and comprehensiveness.

    Securities / Derivatives

    Complex Group Arrangements Compound Margin Financing Risks: SFC

    By Manesh Samtani | 19/06/2019

    Deputy chief Julia Leung says the SFC is concerned that brokers are using complex trading arrangements to circumvent regulatory oversight, among other supervisory priorities.

    Market Infrastructure

    CSRC, PBOC Ask Leading Brokers to Support Smaller Peers

    By Editors | 19/06/2019

    Nine leading brokerages and fund managers have reportedly been asked to provide liquidity support to smaller securities firms and funds to help ease cash shortfalls.

    Securities / Derivatives

    SEBI Allows Exchanges to Introduce Commodity Index Futures

    By Editors | 19/06/2019

    Following an earlier consultation paper, SEBI has approved the trading of commodity index futures on relevant local exchanges.

    Securities / Derivatives

    SSE Issues Rules to Curb Abnormal Trading on New Board

    By Editors | 19/06/2019

    The rules are aimed at preventing large market fluctuations, while maintaining market liquidity, the Shanghai Stock Exchange said.

    Securities / Derivatives

    HKEX Announces Launch of First Active ETF

    By Editors | 19/06/2019

    The introduction of active ETFs in Hong Kong is another step towards HKEX’s goal of becoming a hub for the issuance and trading of ETFs.

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