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Securities / Derivatives
Securities / Derivatives
Thailand to Tighten Rules on Short-Selling, Algorithmic Trading
By Editors | 12/03/2024
The SEC will shrink the pool of listed stocks eligible for short-selling, impose daily limits on short-selling, and require securities firms to help it police the market.
Enforcement
FSS Korea Concludes Probe Into Mis-sold HSCEI-Linked Products
By Manesh Samtani | 12/03/2024
Investors have lost almost $1bn, with another $3.5bn expected. The FSS issued a compensation guideline for financial firms that mis-sold the risky ELS products.
AML / KYC
SEBI’s FPI Disclosure Rules Create Anxiety for Foreign Funds
By Editors | 12/03/2024
Requirements for FPIs to disclose information about their investors present legal, regulatory and practical challenges for foreign funds.
Crypto / Digital Assets
UK FCA to Allow Recognised Exchanges to Offer Crypto ETNs
By Editors | 12/03/2024
The London Stock Exchange has already confirmed it will start accepting applications for Bitcoin and Ethereum ETNs in Q2 2024.
Securities / Derivatives
SEBI Bars JM Financial from Acting as Lead Manager
By Ajoy K Das | 12/03/2024
SEBI said JM Financial engaged in practices which have a “detrimental effect” on the orderly functioning of the market.
Market Infrastructure
SFC Chairman Proposes Adjustment to Stock Connect Threshold
By Editors | 11/03/2024
SFC Chairman Tim Lui has asked mainland policymakers to lower the minimum asset requirement for mainlanders to invest in Hong Kong via Stock Connect.
Securities / Derivatives
Vietnam Launches New Disclosure System at Hanoi Exchange
By Editors | 11/03/2024
The system has been initially implemented on the HNX. Once fully implemented, the same system will be established at HoSE.
Capital / Liquidity
PBOC Reported to be Scrutinising Bond Buying by Rural Banks
By Editors | 11/03/2024
The PBOC says its survey of rural banks is routine, but reports say there are concerns over speculative buying and potential overconcentration risks.
Securities / Derivatives
Australia Mulls Ways to Improve Super Fund Performance Test
By Editors | 11/03/2024
There is evidence that the current performance test is discouraging investment in some sectors like energy transition and affordable housing.
Securities / Derivatives
CFTC Publishes First-Ever US Taxonomy for Digital Assets
By Editors | 11/03/2024
The digital asset taxonomy is one of three recommendations advanced by the CFTC’s Global Markets Advisory Committee.
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