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SECURITIES / DERIVATIVES
Securities / Derivatives
Morgan Stanley Applies to Open Futures Business in China
By Editors | 09/04/2023
If approved, Morgan Stanley would become the second foreign bank to wholly own a futures business in China, after JPMorgan.
ESG / Sustainability
DWS Targets Climate With Largest Ever US ETF Launch
By Editors | 09/04/2023
The passive fund began trading on the NYSE with $2bn of assets, backed by Finnish pension insurance company Ilmarinen.
Securities / Derivatives
SET to Streamline Market Data Licensing Processes
By Editors | 07/04/2023
The Stock Exchange of Thailand has partnered with DataBP to launch a new online platform that will simplify reporting and standardise market data administration.
Securities / Derivatives
US SEC Asked for Views on Whether Loans are Securities
By Mark Johnston | 07/04/2023
Court’s request for SEC’s view has sparked concerns of increased regulation pressure on loan market.
Securities / Derivatives
FSC Korea Finalises New Rules for Convertible Preference Shares
By Editors | 07/04/2023
The rules were amended to prevent large shareholders from using (redeemable) convertible preference shares to dilute small shareholders.
Securities / Derivatives
CSRC Proposes to Update Rules for Securities Firms
By Manesh Samtani | 06/04/2023
The rules focus on risk prevention and internal governance, and now also cover underwriting, sponsorship, market making and OTC business activities.
Enforcement
ICBC Under Probe for Underwriting, Bond Pricing Practices
By Editors | 06/04/2023
The pricing of debt financing instruments underwritten by ICBC “seriously deviated from the reasonable level of the market” and “disturbed the market order”.
Crypto / Digital Assets
IOSCO Pledges to Deliver Sustainable Finance & Crypto Work in 2023
By Manesh Samtani | 06/04/2023
Under its new two-year work programme, IOSCO will issue a consultation on crypto asset regulation in H1 2023, and on DeFi regulation in Q3.
Capital / Liquidity
FDIC Retains BlackRock Unit to Sell SVB, Signature Bank Securities
By Editors | 05/04/2023
The FDIC retained BlackRock Financial Market Advisory to sell about $114bn in securities. Signature Bank loans still in receivership will be marketed “later this summer”.
Fintech / Regtech
JPX Launches Paid Data Service for Retail Investors
By Editors | 05/04/2023
The paid version of the J-Quants API includes datasets that were “highly requested” by users of the beta service.
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