Securities / Derivatives

Big Picture

Fund Managers to Remain in Regulatory Spotlight in 2020: Moody’s

By Editors | 10/12/2019

Asset managers will remain in the regulatory spotlight as authorities actively work to reduce conflicts of interest in financial advice and elevate supervision of fund liquidity management.

Securities / Derivatives

SEBI Proposes Mandatory Benchmarking of Alternative Investment Funds

By Editors | 09/12/2019

Alternative investment funds with at least a three-year track record will have to be benchmarked against industry peers and their performance disclosed to investors.

Securities / Derivatives

HKEX Reviews Listing Regime for Debt Issues to Professional Investors

By Editors | 09/12/2019

HKEX wants to raise the minimum net asset requirement for issuers from HK$100mn to HK$1bn, and to introduce a minimum debt issuance size of HK$100mn, among other proposals.

Securities / Derivatives

Shenzhen Exchange Issues Rules for Stock Options Pilot

By Editors | 09/12/2019

The launch of the stock options pilot is part of an initiative to diversify financial products and improve risk management and hedging tools in the Greater Bay Area.

Crypto / Digital Assets

Reducing Settlement Cycles – An Asia Pacific Perspective

By Philippe Dirckx | 09/12/2019

Should the decision be taken to further reduce the settlement period, a number of challenges will have to be overcome, says Senfinasia founder Philippe Dirckx.

Securities / Derivatives

ASIC Urges Better Conduct from Lead Managers in Mining IPOs

By Editors | 06/12/2019

Among ASIC’s concerns is the prevalence of conflicts of interest, whereby lead managers act for both the company and investing clients while holding direct interests and board seats in the company.

Securities / Derivatives

Philippine Bourse Proposes Tightening of Delisting Rules

By Editors | 06/12/2019

Under the proposed rules, a voluntary delisting must be approved by all independent directors and by stockholders owning at least 75 percent of the total outstanding listed shares.

Securities / Derivatives

Bangladesh Regulator Approves Rules for ‘Alternative Trading Board’

By Editors | 06/12/2019

The Bangladesh Securities and Exchange Commission has approved a set of rules to enable the trading of non-listed companies on a new ATB board.

Securities / Derivatives

China Extends Income Tax Exemptions for Stock Connect Participants

By Editors | 05/12/2019

Mainland investors’ profits made through Stock Connect and the MRF scheme will be exempt from income tax until 31 December 2022.