SECURITIES / DERIVATIVES

Securities / Derivatives

Korea Releases Revision Bills on Measures to Prevent Naked Short-selling

By Editors | 27/11/2024

The revision bills specify details regarding the repayment period for borrowed stocks, internal control standards, and securities firm obligations, among other measures.

Securities / Derivatives

SEBI Proposes to Diversify Ownership of Clearing Corporations

By Editors | 26/11/2024

SEBI proposes two options to diversify ownership of clearing corporations to allow them to operate as public utilities free from commercial, profit-making considerations.

Fintech / Regtech

IOSCO Publishes Final Guidance on Post Trade Risk Reduction Services

By Manesh Samtani | 26/11/2024

The guidance addresses risks relating to control and governance around algorithms, fair treatment of participants, data protection, and other areas.

Securities / Derivatives

IOSCO Publishes Results from Review of Derivatives Market Regulation

By Manesh Samtani | 26/11/2024

The review highlighted challenges jurisdictions have faced in implementing key principles for regulating and supervising derivatives markets.

Securities / Derivatives

SEBI Abolishes Mandatory Security Deposit for Public Issues

By Mark Johnston | 26/11/2024

SEBI has removed the mandatory one percent security deposit for public issues, aiming to simplify business operations.

Enforcement

US Authorities Charge Former Co-CIO of WAMCO with Fraud

By Editors | 26/11/2024

Ken Leech disproportionally allocate winning trades to favoured portfolios and loss-making trades to disfavoured portfolios.

Securities / Derivatives

Hong Kong Connectivity With Mainland Set to Increase

By Manesh Samtani | 25/11/2024

China Vice-Premier He Lifeng, CSRC Chairman Wu Qing and HKMA Chief Eddie Yue discussed new initiatives at the Global Financial Leaders’ Investment Summit.

Securities / Derivatives

BSP to Ease Rules on Cross-Selling Financial Products

By Sanday Chongo Kabange | 25/11/2024

The revised regulations will allow the cross-selling of financial products, including insurance and mutual funds, within financial conglomerates.

Securities / Derivatives

IOSCO Proposes Measures to Tackle Pre-Hedging Risks

By Manesh Samtani | 23/11/2024

IOSCO proposes recommendations to guide regulators in determining acceptable pre-hedging practices and managing the associated conduct risks effectively.