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Structural Regulation
Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.
Trading & Investment
CSRC Probes Hedge Funds, Brokers Over Quant Strategies – Report
By Sanday Chongo Kabange | 25/09/2023
The CSRC is seeking information on the trading strategies and short-selling activities of quant funds, and their impact on the stock market.
Trading & Investment
HKMA Designates New Market Makers for Southbound Bond Connect
By Sanday Chongo Kabange | 25/09/2023
The new designations bring the total number of designated market makers for Southbound Bond Connect trading from 13 to 22.
Conduct, Culture & Accountability
SEC Fines Goldman for Submitting Inaccurate Securities Trading Data
By Sanday Chongo Kabange | 24/09/2023
Goldman Sachs has agreed to USD 6 million for submitting deficient submissions that included missing or inaccurate trade data for at least 163 million transactions.
Trading & Investment
China Pilots More Flexible Panda Bond Issuance Mechanism
By Editors | 24/09/2023
The programme will improve the efficiency of cross-border investment and financing on China’s interbank bond market, NAFMII said.
Payments & Settlements
Korea to Relax Rules to Boost Offshore Lending and Trade Finance
By Editors | 23/09/2023
The changes will enable financial institutions, including foreign banks operating in Korea, to transfer foreign currency denominated debt to overseas entities.
Trading & Investment
Malaysia SC Outlines Ongoing Initiatives to Boost Capital Market
By Editors | 23/09/2023
The measures include a lower stamp duty, the introduction of fractional share trading, and a faster IPO process.
Structural Regulation
ASIC Postpones Financial Adviser Registration to 2024
By Sanday Chongo Kabange | 22/09/2023
The financial adviser registration requirement was initially due to commence in January 2023. This is now the third extension.
Structural Regulation
CSRC Plans Reforms to Drive Better Dividend Payouts by Listed Companies
By Editors | 22/09/2023
Companies that don’t pay dividends will be required to justify these decisions, and restrictions on stock sales may be imposed on their controlling shareholders.
Structural Regulation
China Considers Looser Restrictions on Foreign Ownership in Listed Companies
By Editors | 22/09/2023
China currently caps total foreign ownership in local listed companies at 30%, and subjects a single foreign shareholder to a 10% limit.
Structural Regulation
SFC Finalises Revisions to Takeovers and Share Buybacks Codes
By Editors | 22/09/2023
The amended Codes on Takeovers and Mergers and Share Buy-backs will be gazetted on 29 September 2023 and then take effect immediately.
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