SECURITIES / DERIVATIVES

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.