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Securities / Derivatives
India: Two FPIs Seek Extension to Comply With New Disclosure Rule
By Ajoy K Das | 10/09/2024
Two Mauritius-based FPIs suspected of being linked to Adani Group have asked for six more months to comply with SEBI’s beneficial ownership disclosure rules.
Securities / Derivatives
India’s IFSCA Proposes Rules for CP, CD Issuance in GIFT City
By Ajoy K Das | 10/09/2024
The introduction of CP and CD products is expected to attract more foreign and NRI investors to participate in GIFT City.
Enforcement
US SEC Charges 10 Firms for Breaking Whistleblower Protection Rule
By Nithya Subramanian | 10/09/2024
A broker-dealer, two investment advisers, and seven public companies used signed agreements to impede the reporting of misconduct to the SEC.
Securities / Derivatives
SEBI Employees Demand Resignation of Chairperson
By Ajoy K Das | 09/09/2024
About 200 employees held a “silent march” in front of SEBI’s headquarters to call for the resignation of chairperson Madhabi Buch Puri.
Securities / Derivatives
China to Merge Two Top Securities Firms to Create Industry Giant
By Editors | 09/09/2024
Guotai Junan Securities and Haitong Securities will merge, subject to regulatory and shareholder approval, creating China’s largest brokerage firm.
Securities / Derivatives
TAIFEX Amends Information Security Rules for Futures Brokers
By Editors | 08/09/2024
Among the new requirements, futures brokers must prohibit staff from storing confidential business information on personal mobile devices.
Market Infrastructure
Japan Proposes to Allow Foreign Institutions to Handle Domestic Securities
By Thisanka Siripala | 08/09/2024
Under the proposed revision, international platforms can be used for trading and settling domestic securities, provided they meet specific criteria and are approved by regulators.
Securities / Derivatives
Thailand: Stock Exchange Consults on Rules for New Public Fund
By Nithya Subramanian | 08/09/2024
The SET proposes to amend its rules on NAV disclosure, short selling and tick size for the Vayupak One Fund, a public fund being launched by the Ministry of Finance.
Securities / Derivatives
Korean and Japanese Regulators Agree to Strengthen Cooperation
By Thisanka Siripala | 08/09/2024
The FSC’s Kim Byung-hwan and FSA’s Hideki Ito committed to advancing bilateral cooperation in order to better respond to financial market volatility.
Crypto / Digital Assets
Monochrome Moves to List Spot Ether ETF on Cboe Australia
By Thisanka Siripala | 07/09/2024
Monochrome expects the ETF to begin trading by the end of the month, making it the first in the country that holds ether directly.
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