Securities / Derivatives

Securities / Derivatives

Governance of OTC Derivatives Data Elements Finalised

By Editors | 10/10/2019

The FSB has now published the final governance arrangements for both the UTI and UPI, while CPMI-IOSCO has published the same for the other critical data elements.

Securities / Derivatives

UPDATED – SFC to Raise Investor Compensation Limit

By Editors | 09/10/2019

Respondents to an April 2018 consultation strongly supported an increase in the compensation limit, among other proposals, which the SFC expects to implement in early 2020.

Securities / Derivatives

HKEX Closing Auction Expands to All Equities, Funds

By Editors | 09/10/2019

The move will help improve trading liquidity at close, simplify trading operations for market participants, and standardise closing times for equities.

Market Infrastructure

China-Japan ETF Connect Slow to Gain Traction

By Editors | 09/10/2019

Assets in the cross-border feeder ETFs have dropped in the three months since the scheme was launched, by more than two-thirds in the case of the Japan-invested assets.

Enforcement

Two Singaporeans Jailed for Spoofing Derivatives Market

By Editors | 08/10/2019

Two former directors of proprietary trading company Joerik Financial were jailed for fraud and dishonest conduct in relation to the trading of futures contracts.

Securities / Derivatives

ASX Consults on Changes to Treasury Bond Futures Roll

By Editors | 07/10/2019

A new consultation paper outlines four options for changes to the roll structure and order management functionality for the 3 and 10 Year Treasury Bond Futures contracts.

Securities / Derivatives

IOSCO Publishes Updates on MMF, Securitisation Regulation

By Editors | 03/10/2019

The reports describe progress by IOSCO members to adopt legislation, regulation and other policies covering MMF and securitisation, considered priority reform areas by the G20.

Capital / Liquidity

SFC Offers Additional Guidance on New Margin Financing Rules

By Editors | 02/10/2019

New FAQs make clear that deviations from the new rules after 4 October will not automatically be seen as noncompliance or result in disciplinary action.

Securities / Derivatives

Korea FSC Offers New Channels for Venture Capital Investment

By Editors | 01/10/2019

Securities, asset management and venture capital firms can obtain a license to operate a fund which raises capital from investors to list on the KRX and invests in unlisted companies.