ADVERTISEMENT
Securities / Derivatives
HK Listed Companies May Miss Earnings Deadline – Reports
By Editors | 31/01/2020
The HKICPA has met with HKEX to propose extending a 31 March filing deadline for China-based companies listed in Hong Kong affected by coronavirus-related travelling restrictions.
Enforcement
SFC Suspends RHB Securities AE for Unauthorised Discretionary Trades
By Editors | 30/01/2020
The account executive conducted discretionary trades for a client account for almost two years without obtaining written authorisation.
Securities / Derivatives
SEC Philippines Drafts Derivatives Investment Rules for Funds
By Editors | 29/01/2020
The global exposure to financial derivatives must not exceed 20% of the qualifying fund’s net assets, up from 10% previously.
AML / KYC
SEBI Panel Proposes Tighter Norms for Related Party Transactions
By Editors | 29/01/2020
Any member of the promoter group would be deemed a related party regardless of shareholding. Any shareholder with more than 20% of a listed company’s shares would also be deemed a related party.
Securities / Derivatives
Australia to Decide on Removal of ‘Conflicted’ Stamping Fees
By Editors | 28/01/2020
Fund managers have been paying ‘conflicted’ up-front commissions to financial advisers and brokers under a 2014 exemption, which ASIC says has resulted in worse investment returns.
Securities / Derivatives
BSE India Signs Licensing Agreement with ICE Futures Europe
By Editors | 28/01/2020
BSE India is using the ICE Brent Index as the final settlement price for its new rupee-denominated Brent futures contract, which launched on Tuesday.
Securities / Derivatives
SEBI Prescribes New Margin Framework or Commodity Derivatives
By Editors | 28/01/2020
Clearing corporations are asked to categories commodity derivatives as low, medium and high risk, and to set new IM and MPOR floors.
Securities / Derivatives
KRX to Cap KOSPI 200 Single Stock Weighting at 30pc
By Editors | 27/01/2020
Institutional investors who mirror the KOSPI 200 index may need to offload an estimated 500-800bn won worth of Samsung Electronics shares to rebalance their portfolios.
AML / KYC
SEBI to Augment Social Media Monitoring to Fight Manipulation
By Editors | 24/01/2020
SEBI is working on a ‘data lake’ project that will use AI, machine learning and NLP tech to analyse unstructured data and augment market surveillance.
Securities / Derivatives
KRX to Ease Listing Requirements for Startups
By Editors | 24/01/2020
An existing fast-track process for promising startups to list on the KOSDAQ market will be extended to the main KRX bourse in 2020.
JOIN OUR NEWSLETTER
An exclusive weekly selection of top stories from the Regulation Asia editorial team.