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Securities / Derivatives
SC Malaysia Raises Bar on Investment Research, Advice
By Editors | 11/12/2022
The SC released new guidelines for investment analysts and a technical note for those seeking to provide digital investment advice.
Enforcement
FCA to Ban Ex-Mizuho Traders for Manipulating Italian Bond Futures
By Editors | 11/12/2022
The FCA said the three traders repeated a pattern of “deliberate and intentional market manipulation on a number of occasions and were dishonest.”
Market Infrastructure
EU Commission Proposes New Rules on Clearing, Listing
By Editors | 11/12/2022
EU market participants will have to hold “active accounts” at EU CCPs for clearing certain systemic derivatives. Dual class shares will be introduced.
Enforcement
US Authorities Fine NYSE-Listed ABB for South Africa Bribes
By Mark Johnston | 10/12/2022
The action was coordinated among US, South African and Swiss authorities. ABB also paid bribery related fines in 2004 and 2010.
Securities / Derivatives
RBI Tightens Rules on Loan Securitisations
By Editors | 10/12/2022
Local market participants say the move will reduce the volume of tradable securities available in the market, but improve the quality of securitisations.
Securities / Derivatives
CSRC Authorises Fidelity to Operate Onshore Mutual Funds Business
By Editors | 10/12/2022
Fidelity International’s approval comes after similar approvals were granted to Neuberger Berman, Manulife Financial Corp and BlackRock.
Securities / Derivatives
IFSCA Mulls Introduction of VCC Structure in GIFT City
By Editors | 08/12/2022
An expert committee set up by the IFSCA in 2020 has proposed a legal framework for introducing the VCC structure for funds operating in GIFT City.
Big Picture
BIS Calls Out Stability Risks From ‘Hidden’ FX Swap Debt
By Editors | 08/12/2022
The BIS is concerned about high volumes of USD debt recorded off-balance sheets and FX settlement risk that remains “stubbornly high”.
Market Infrastructure
Clearstream to Open Up Access to Korea Treasury Bonds
By Editors | 08/12/2022
The move comes after Korea passed a bill exempting non-residents and foreign corporations from having to pay income and capital gains tax on government bonds.
Securities / Derivatives
Ex HKEX CEO to Launch Macau Exchange for Small Chinese Firms
By Editors | 07/12/2022
The exchange, Micro Connect, will provide global investors access to revenue shares from Chinese micro and small businesses.
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