Securities / Derivatives

Securities / Derivatives

HKEX Issues Compliance Bulletin on ChiNext Trading, LOP Reporting

By Manesh Samtani | 29/03/2025

The bulletin focuses on elibility for trading in ChiNext shares and compliance with LOP reporting requirements for Holiday Trading contracts.

Securities / Derivatives

SC Malaysia Updates Advertising Guidelines to Enhance Investor Protection

By Nithya Subramanian | 29/03/2025

The revised guidelines introduce stricter rules for social media promotions and finfluencers, effective from 1 November 2025.

Securities / Derivatives

Chinese Regulators Urge Firms to Start Launching IPOs

By Manesh Samtani | 28/03/2025

The move to encourage new listings is a change from the government’s previous stance that IPOs could further weigh on the stock market.

Enforcement

Former Judge in Japan Sentenced for Insider Trading

By Editors | 28/03/2025

The former judge used his authority while seconded to the FSA to learn important facts about tender offers and then buy shares before the offers were made public.

Fintech / Regtech

HKMA Preparing to Further Enhance Wealth Connect Scheme

By Manesh Samtani | 28/03/2025

The enhancement would aim to refine quota eligibility, further expand the suite of eligible products, improve the selling process, and investors more Mainlanders to participate.

Securities / Derivatives

SEBI Revises Fee Rules for Investment Advisers and Research Analysts

By Nithya Subramanian | 28/03/2025

Advance fee collection was restricted to six months for IAs and three months for RAs. The new limit is one year.

Market Infrastructure

Australian Regulators Keep Door Open for Bond, Repo CCP

By Sanday Chongo Kabange | 27/03/2025

The CFR said regulatory intervention is not yet needed but it supports the industry exploring the introduction of central clearing in the Australian bond and repo markets.

Securities / Derivatives

SEBI Proposes Easing Rules for GIFT City Stock Brokers

By Nithya Subramanian | 27/03/2025

Stock brokers will no longer need a No-Objection Certificate from the regulator to set up a subsidiary or joint venture in GIFT City.

Big Picture

Off-exchange Derivatives Present Risks to Investors: WFE Paper

By Nithya Subramanian | 27/03/2025

WFE calls for measures to avoid the development of an off-exchange derivatives market that is opaque and less fair to investors.