Two former directors of proprietary trading company Joerik Financial were jailed for fraud and dishonest conduct in relation to the trading of futures contracts.
A new consultation paper outlines four options for changes to the roll structure and order management functionality for the 3 and 10 Year Treasury Bond Futures contracts.
The reports describe progress by IOSCO members to adopt legislation, regulation and other policies covering MMF and securitisation, considered priority reform areas by the G20.
New FAQs make clear that deviations from the new rules after 4 October will not automatically be seen as noncompliance or result in disciplinary action.
Securities, asset management and venture capital firms can obtain a license to operate a fund which raises capital from investors to list on the KRX and invests in unlisted companies.
Mutual funds should value money market and debt securities using the waterfall approach on the basis of traded yields, SEBI said in a circular.
The WFE and SSE will collaborate to enhance ESG disclosure at stock exchanges. They have also jointly published a blueprint for embedding sustainability in stock exchange operations.
The consultation also proposes amendments to facilitate the electronic performance of corporate actions by securities holders.
New Zealand’s FMA is seeking feedback on how responsible investment products should be described, labelled and promoted to investors.
Fund trustees and custodians in Hong Kong are not subject to any licensing regime or ongoing supervision. The SFC proposes to regulate them under a new type of regulated activity, RA 13.
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