Securities / Derivatives

CSRC Designates 13 Funds as “Major” Money Market Funds

By Editors | 10/02/2024

The funds will have to comply with stricter regulatory requirements under rules jointly issued with the PBOC in February 2023.

Securities / Derivatives

US Regulators Expand Reporting Requirements for Private Funds

By Manesh Samtani | 10/02/2024

The amendments will require detailed reporting on hedge funds’ concentrated positions, counterparty exposures and financing arrangements.

Securities / Derivatives

HKEX to Accelerate Changes to Executive Leadership

By Editors | 10/02/2024

Current CEO will step down earlier than planned. Co-COO Bonnie Chan will start as CEO on 1 March 2024 instead of 24 May 2024.

Enforcement

CSRC Punishes 63 Employees of China Merchant Securities

By Editors | 10/02/2024

The CSRC warned of increased on-site inspections and a coming crackdown on illegal stock speculation and “irresponsible behavior” by securities practitioners.

Securities / Derivatives

US SEC Approves Post-trade Transparency Rule for Treasury Market

By Editors | 09/02/2024

Post-trade transparency in the Treasury markets will for the first time be on a trade-by-trade basis, rather than aggregated.

Securities / Derivatives

Goldman Agrees to Penalties for Trade Surveillance Failures

By Editors | 09/02/2024

Goldman did not include some of the securities it traded in surveillance reports between February 2009 and mid-April 2023.

ESG / Sustainability

Major Chinese Bourses Issue Sustainability Reporting Guidelines

By Editors | 09/02/2024

Companies in the SSE 180, STAR 50, SZSE 100, and ChiNext indexes, and those dually listed overseas, have to report in line with the new guidelines by 30 April 2026.

Securities / Derivatives

ASIC Offers Limited Relief for Unfair Contract Terms Regime

By Sanday Chongo Kabange | 09/02/2024

ASIC granted no-action relief to address concerns that the regime could apply to sophisticated participants, who are not the intended targets of the regime.

ESG / Sustainability

IIGCC Releases Derivatives, Hedge Funds Guidance

By ESG Investor | 09/02/2024

The guidance provides advice to hedge fund managers on how to report on the real-economy impact of their holdings and better support net zero investment strategies.

Market Infrastructure

India: AMNI Agrees to Extend Trading Hours for Index Futures

By Ajoy K Das | 09/02/2024

The Brokers’ Industry Standards Forum will submit a letter to SEBI recommending that the extended trading hours be implemented.

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