Securities / Derivatives

Securities / Derivatives

MAS Finalises Rules for New OTC Derivatives Reporting Regime

By Manesh Samtani | 14/05/2024

The final regulations come into operation on 21 October 2024, introducing the UPI, UTI, CDE and ISO 20022 in reporting.

Enforcement

ASIC Probes ANZ Over Treasury Bond Issuance

By Sanday Chongo Kabange | 14/05/2024

ASIC suspects ANZ breached the law while serving as a risk manager for a government bond issuance last year.

Securities / Derivatives

SGX Lists First ETF Tracking APAC Financial Sector

By Nithya Subramanian | 14/05/2024

The ETF is a collaboration between SGX, Lion Global Investors and OCBC Securities.

Securities / Derivatives

SEBI to Mandate Direct Payout of Securities to Investor Accounts

By Ajoy K Das | 14/05/2024

SEBI has proposed a new rule that will require all securities payouts to be credited directly to investors’ demat accounts.

Securities / Derivatives

HKEX Stops Showing Real-time Stock Connect Data

By Manesh Samtani | 14/05/2024

The change is expected to reduce abnormal market swings, mitigate herd behaviour, and promote fairer access to information.

Market Infrastructure

Regulators Announce Enhancements to Swap Connect

By Sanday Chongo Kabange | 14/05/2024

The enhancements will enrich the tradeable products, improve ancillary services, and reduce investor participation costs.

Enforcement

FINRA Censures and Fines Mizuho’s US Securities Unit

By Editors | 14/05/2024

Mizuho Securities had inaccurate or incomplete information in more than 300,000 institutional customer confirmations over five years.

Securities / Derivatives

China Mulls Tax Exemption for Stock Connect Investors

By Editors | 14/05/2024

The proposal to scrap the dividend tax for mainland Stock Connect investors was submitted in March by the SFC’s Tim Liu.

Capital / Liquidity

ICBC, BOC to Issue First TLAC Bonds This Week

By Editors | 14/05/2024

ICBC and Bank of China will each raise CNY 30 billion through TLAC bonds this week, their first such issuances.