SECURITIES / DERIVATIVES

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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.

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    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.

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    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.

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    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.

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    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.

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    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.

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    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.

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    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.

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    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.

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    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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