Securities / Derivatives

Fintech / Regtech

Korea Joins Regional Peers in Adopting AI-based Market Surveillance

By JP Reimann | 08/05/2018

KRX launches new market surveillance system based on artificial intelligence; reduces time to secure data on suspicious transactions from 5 days to 1 hour.

Market Infrastructure

China Set to Revive RQDII with New Safeguards

By Garima Chitkara | 07/05/2018

Central bank forbids RQDII investors from exchanging the yuan for foreign currencies in offshore CNY investments.

Market Infrastructure

China Issues Draft Rules for Depository Receipt Issuance

By Manesh Samtani | 07/05/2018

Rules include requirements related to investor protection, information disclosures; Shanghai-London Stock Connect to allow cross listings of depository receipts.

Securities / Derivatives

SFC Issues New Rules on Instant Message Trade Orders

By JP Reimann | 07/05/2018

Regulator requires two years of full records, client authentication and validation, a written contingency plan and compliance reviews for instant messaging use.

Market Infrastructure

SEBI Issues New Risk Management Guidelines for Derivatives

By Editors | 04/05/2018

Guidelines to take effect in June specify margin calculation methods, collection and enforcement norms, and method of calculation of trading and clearing members’ liquid net worth, effective from June.

Market Infrastructure

Indian Exchanges Seek CFTC Approval for GIFT City Derivatives

By Garima Chitkara | 04/05/2018

NSE and BSE are looking to sell derivatives traded at GIFT City exchanges to American investors; aimed at countering competition with SGX, which is launching its own Indian equity derivatives offering in June.

Securities / Derivatives

Indonesia Scraps Margin Call Requirement for Options

By Editors | 04/05/2018

OJK amended rules for trading in options, doing away with the 10% margin call requirement. The move is expected to stop the flow of options trading to other markets that don’t have the requirement.

Securities / Derivatives

India Lifts Ban on Foreign Investments in T-bills

By Garima Chitkara | 04/05/2018

Central bank lifts three year residual maturity limits on foreign portfolio investment in government debt and consequently allows foreign investment into T-bills.

Securities / Derivatives

China Allows Foreign Ownership Majority at Securities Firms

By Manesh Samtani | 02/05/2018

Ceiling on foreign ownership raised from 49% to 51%, effective immediately; CSRC reviewing first application from UBS to boost stake in China-based UBS Securities.