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Enforcement
SEBI Proposes Informant Mechanism to Combat Insider Trading
By Editors | 11/06/2019
SEBI wants to institute a process that incentivises timely reporting of instances of insider trading and provides for the granting of rewards to whistleblowers.
Market Infrastructure
SFC Directs Prime Brokers on Regulatory Obligations
By Manesh Samtani | 11/06/2019
If prime services are carried out in Hong Kong, prime brokers are expected to comply with Hong Kong rules and regulations regardless of where the risk positions are booked.
Enforcement
S. Korea: Nine Securities Firms, KSD Face Disciplinary Action
By Editors | 11/06/2019
The Korea Securities Depository and nine brokerages are facing penalties for inadequate internal controls over their offshore equities trading
Enforcement
Switzerland Fines Five Global Banks Involved in FX Trading Cartel
By Editors | 10/06/2019
Adding to the European Commission’s $1.2bn fine last month, Citigroup, Barclays, RBS, JP Morgan and MUFG have been fined $91mn by the Swiss Competition Commission.
Securities / Derivatives
RBI to Roll Out Retail FX Trading Platform in August
By Editors | 10/06/2019
The new trading platform is expected to improve pricing by unifying the existing fragmented market structure.
Big Picture
IOSCO Publishes Recommendations on Sustainable Finance
By Editors | 08/06/2019
The report identifies the prerequisites for creating an ecosystem that facilitates sustainable finance, and sets out 10 recommendations for growth and emerging markets.
Securities / Derivatives
Macau Explores Establishment of Securities Market
By Editors | 06/06/2019
The move will help Macau diversify away from gaming as its main source of revenue, and align the territory with China’s plans for the Greater Bay Area.
Securities / Derivatives
SSE Approves First Three Companies to List on New Tech Board
By Editors | 06/06/2019
The three companies are among 117 that have so far applied for a listing. The three will now have to file listing registrations with the CSRC.
Securities / Derivatives
Philippine Bourse Rolls Out Online IPO Subscription Platform
By Editors | 05/06/2019
The new platform allows local small investors to subscribe to IPOs online. Previously, they had to file IPO subscription forms at designated mall kiosks.
Securities / Derivatives
SHFE Publishes Eligibility Rules for Futures Trading Participants
By Editors | 05/06/2019
The trading of options and specified futures contracts conducted on the Shanghai Futures Exchange will be subject to the eligibility rules.
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