SECURITIES / DERIVATIVES

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    Securities / Derivatives

    US SEC Adopts New Reporting Rules for Investment Funds

    By Editors | 31/08/2024

    Mutual funds and ETFs will have to report portfolio holdings monthly rather than quarterly. Swing pricing rules weren’t included in the amendments.

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    Enforcement

    CFTC Penalises Nasdaq Futures Over False Disclosures

    By Editors | 30/08/2024

    Nasdaq Futures, which operated an energy commodity futures market from 2015-2018, did not fully disclose details of an incentive programme.

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    Securities / Derivatives

    RBI Introduces Scheme to Widen Green Bond Trading in GIFT City

    By Ajoy K Das | 30/08/2024

    Eligible participants include persons residing outside India, IBUs of foreign banks, and certain regulated funds or schemes.

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    Crypto / Digital Assets

    WFE Offers Recommendations on Crypto Custody Practices

    By Editors | 30/08/2024

    The recommendations draw lessons from traditional finance to guide crypto custody providers in creating a safer space for investors.

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    Enforcement

    CFTC Fines Swiss Energy Trader $48m for Market Manipulation

    By Nithya Subramanian | 30/08/2024

    TOTSA TotalEnergies Trading sold physical EBOB at below-market prices to benefit its large short position in the futures market.

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    Securities / Derivatives

    SEBI to Raise Net Worth Requirements for Merchant Bankers

    By Ajoy K Das | 30/08/2024

    The current net worth requirement is around $6mn. SEBI proposes to raise this 10x for those handling main board issues.

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    Enforcement

    ASIC Fines CLSA for Providing Incorrect Regulatory Data

    By Sanday Chongo Kabange | 30/08/2024

    The failures arose from a change to CLSA’s global order management system that was “not adequately scoped and tested” before implementation.

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    Crypto / Digital Assets

    BCBS Paper Warns of Risks in Permissionless DLT Systems

    By Manesh Samtani | 30/08/2024

    New working paper describes the risks associated with permissionless DLT, highlighting the need for banks to adopt robust risk management strategies.

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    Capital / Liquidity

    PBOC Starts Stress Testing FIs to Assess Bond Risks

    By Mark Johnston | 29/08/2024

    The stress tests will assess whether banks can withstand significant drops in bond prices, which could result if yields suddenly rise.

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    Securities / Derivatives

    SEBI Proposes to Mandate UPI Blocking Mechanism for Stock Trades

    By Ajoy K Das | 29/08/2024

    Under the UPI block mechanism, investors only transfer funds to the broker after their shares are credited.

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