Securities / Derivatives

Securities / Derivatives

What ASIC’s New Product Intervention Powers Will Mean

By Melody Gao | 11/01/2019

Melody Gao at Sydney-based financial services consultancy firm Sophie Grace explains the implications of a bill to impose new design and distribution obligations on issuers and grant ASIC product intervention powers.

Market Infrastructure

Citi to Divest Stake in Mainland Securities Joint Venture

By Editors | 10/01/2019

Citi is looking to form its own majority-owned securities joint venture in China following new rules allowing foreign firms to acquire controlling stakes in such partnerships.

Securities / Derivatives

Bursa Malaysia Introduces New Trading Features

By Editors | 09/01/2019

The exchange has introduced market order at pre-closing, on-open orders, on-close orders, iceberg orders and one-cancel-other orders.

Enforcement

China Securities Regulator Breaks Record with 2018 Penalties

By Editors | 08/01/2019

The CSRC imposed fines of over $1.55bn in 2018, with the largest number of cases relating to insider trading, illegal disclosures and market manipulation.

Securities / Derivatives

SEBI Instructs Brokers, Depository Participants to Report on AI, ML Systems

By Editors | 07/01/2019

Stock brokers and depository participants will have to report information on systems based on artificial intelligence and machine learning.

Securities / Derivatives

Hong Kong SFC Launches New Online Submission Portal

By Editors | 07/01/2019

All functions and submission services available on the existing SFC Online Portal will be migrated to the new platform in phases.

Market Infrastructure

Technical Preparation for Shanghai-London Connect Completed

By Editors | 07/01/2019

The currency conversion system that delayed the launch of the Shanghai-London Stock Connect last month has now been completed.

Market Infrastructure

SEBI to Upgrade Market Surveillance System and Data Warehouse

By Editors | 04/01/2019

India’s securities regulator is looking to beef up its IT infrastructure for market surveillance and trade data analysis to improve detection of market violations.

Securities / Derivatives

HKEX Loosens Requirements to Participate in ETP Market Making

By Editors | 03/01/2019

HKEX has loosened the eligibility criteria and created a more flexible structure to allow global liquidity providers to provide market making for Hong Kong exchange-traded products.