Securities / Derivatives

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.

Enforcement

SGX RegCo Eyes Greater Enforcement, Whistleblower Protection

By Garima Chitkara | 04/06/2019

Senior officials at an SGX RegCo symposium said the regulator will take a more active role in protecting investor interests through greater enforcement action and whistleblower protection.

Securities / Derivatives

Bursa Malaysia Central Depository to Expand Electronic Services

By Editors | 03/06/2019

Bursa Malaysia is proposing rule amendments to facilitate the introduction of new CDS eServices via ‘Bursa Anywhere’ – a new electronic platform.

Securities / Derivatives

SFC Asks Licensed Firms to Review Controls on Third-Party Deposits

By Editors | 01/06/2019

Senior management will be held accountable for failures to put in place effective policies, procedures and controls for handling third-party deposits and payments.

Market Infrastructure

S. Korea FSC Announces Derivatives Market Reforms

By Editors | 31/05/2019

The minimum deposit requirements will be abolished for professional investors and eased for retail investors. The minimum 20-hour compulsory training requirement will be reduced.

Securities / Derivatives

South Korea Cuts Securities Transaction Tax

By Editors | 30/05/2019

FSC chairman Choi Jong-ku has repeatedly called for a cut in the securities transaction tax to ease the burden it places on stock and mutual fund trades.

Fintech / Regtech

SEBI Floats Discussion Paper on Sandbox for Regulated Entities

By Editors | 30/05/2019

Under the proposed framework, entities regulated by SEBI will be granted certain facilities and flexibilities to experiment with innovative solutions in a live environment and on real customers.