Securities / Derivatives

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.

Securities / Derivatives

Riding the Tech Wave in a Volatile Derivatives Market

By John Omahen | 23/09/2020

A surge in trading volumes has highlighted the need for brokerage firms to re-engineer their businesses for the future, writes John Omahen at FIS.

Securities / Derivatives

Thailand to Lift Short-selling Restrictions Next Week

By Editors | 23/09/2020

As market volatility has returned to normal levels, SET and TFEX will return to its normal short selling rules and its normal ceiling and floor limits.

Market Infrastructure

SGX, NSE Formalise Agreement to Operationalise ‘Connect’

By Manesh Samtani | 22/09/2020

The Connect will bring trading of SGX Nifty products to GIFT City to create a larger pool of liquidity, comprising both foreign and domestic market participants.