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Securities / Derivatives
Securities / Derivatives
APRA Review Finds Gaps in Super Fund Valuation Practices
By Sanday Chongo Kabange | 05/09/2023
The review was conducted in late 2022, ahead of new investment governance standards taking effect in January.
Crypto / Digital Assets
LSEG to Push Forward Plans to Develop Digital Markets Business
By Editors | 05/09/2023
LSEG has been exploring a possible blockchain-powered trading venue for about a year and has now reached an “inflection point”.
Fintech / Regtech
China Enhances Monitoring of Programme Trading in Stock Market
By Editors | 05/09/2023
The enhanced monitoring programme seeks to address concerns over rising algorithmic trade-driven market volatility.
Market Infrastructure
NZX Adds Financial Recovery Tools to Operational Rules
By Sanday Chongo Kabange | 04/09/2023
The amendments will take effect on 1 December, introducing five recovery tools to help manage a potential default by a market participant.
Fintech / Regtech
The Future of Investment Advice
By Siva Ramachandran | 04/09/2023
Policy experts from CFA Institute discuss key regulatory and technology trends that will impact how investment advice is delivered.
Securities / Derivatives
CSRC Approves Fund Sales Licence for HSBC Subsidiary
By Editors | 04/09/2023
The HSBC subsidiary becomes the first wealth management firm to hold both an insurance brokerage and a fund sales licence in China.
Market Infrastructure
SEBI Proposes Formation of New Agency to Validate Performance Claims
By Sanday Chongo Kabange | 04/09/2023
SEBI proposes to create a new independent body that would validate performance claims made by intermediaries such as fund managers and investment advisers.
Market Infrastructure
Japan FSA Revises OTC Derivatives Reporting Requirements
By Manesh Samtani | 04/09/2023
The FSA is making changes to its guidelines to remove the “UPI” and “Delta” requirements from the 1 April 2024 go-live date.
Securities / Derivatives
English Disclosure Still Inadequate in Japan Market: Survey
By Editors | 04/09/2023
The TSE said it plans to initiate discussions on measures that would make English disclosures mandatory for Prime Market companies.
Enforcement
Taiwan: Cathay Financial Units Fined for Connectivity Issues
By Editors | 04/09/2023
Cathay Securities and Cathay Futures failed to perform capacity tests and application system stress testing operations, the FSC said.
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