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Securities / Derivatives
Securities / Derivatives
SEBI, NSE, BSE Revamp Framework for ESM Stocks
By Mark Johnston | 21/07/2023
The existing ESM framework had restricted the trading of ESM stocks to once a week. Under the new framework, trading can take place on all trading days.
Market Infrastructure
FSC Korea Grants First Preliminary Approval to ATS Platform
By Sanday Chongo Kabange | 21/07/2023
Nextrade, owned by 34 companies, will have 18 months to establish its systems and apply for final authorisation to operate its ATS platform.
Securities / Derivatives
SEBI Mandates Automated Trading Controls for Insiders
By Ranamita Chakraborty | 21/07/2023
India’s securities regulator is ensuring that insiders, also known as designated persons, from listed companies cannot trade during sensitive periods.
Market Infrastructure
Vietnam Launches New Bond Trading Platform at HNX
By Editors | 20/07/2023
The system will also support businesses in mobilising mid and long-term capital, helping them reduce their dependence on bank credit.
Enforcement
India: Appeals Tribunal Sets Aside SEBI Penalty Order Against NSE
By Editors | 20/07/2023
The Securities Appellate Tribunal said NSE had not indulged in any unethical act or unjustly enriched itself.
Securities / Derivatives
Shanghai, Shenzhen Bourses Tighten Rules on GDR Listings
By Manesh Samtani | 20/07/2023
The new rules are aimed at preventing Chinese investors participating in GDR offerings from exploiting home market price differences.
Securities / Derivatives
Korea: New Rules for CFD Trading to Take Effect from 1 Sept
By Editors | 20/07/2023
Securities firms that conduct CFD trading and brokerage business must submit investor balances to KOFIA on a daily basis.
Market Infrastructure
EU Commission Seeks to Further Extend Transition Period for Third-country Benchmarks
By Manesh Samtani | 20/07/2023
The European Commission says the extension is necessary to avoid destabilising the asset management sector and financial stability risks.
Securities / Derivatives
China’s AMAC Revises Rules for Private Equity Asset Management Plans
By Editors | 18/07/2023
The measures aim to refocus the private equity industry’s attention back to its core operations, minimise potential conflicts of interest, and facilitate the growth of the industry.
Enforcement
CSRC Fines GF Securities for Poor Due Diligence in Stock Sale
By Editors | 18/07/2023
GF Securities received an advance notice of administrative penalties from the CSRC connected to a 2018 share issuance by Misho Ecology & Landscape.
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