Trading & Investment

    Coverage of regulatory developments, market trends, and operational standards across asset classes, financial products, and trading venues.

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    AI Risk & Governance

    CFTC Consults on AI Uses and Risks in Derivatives Markets

    By Editors | 30/01/2024

    Responses will inform analysis on whether the CFTC should issue guidance or regulations on the use of AI in derivatives markets.

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    Structural Regulation

    India’s IFSCA Issues Eligibility Criteria for Accredited Investors

    By Ajoy K Das | 30/01/2024

    The GIFT City regulator has specified criteria for individuals, sole proprietorships and other investment entities who can be deemed accredited investors.

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    Trading & Investment

    CSRC Adds More Securities Lending Curbs to Boost Stock Market

    By Manesh Samtani | 29/01/2024

    Shareholders are no longer allowed to lend shares during their lock-up period. Borrowed shares will no longer be available on the same day.

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    Trading & Investment

    Korea Amends Law to Guard Against Unregulated Investment Advice

    By Manesh Samtani | 26/01/2024

    Unregistered investment advisors are allowed to operate online chatrooms, but only to provide “non-specific investment advice” to a “general audience”.

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    Trading & Investment

    China Consults on Expanding Foreign Access to Repo Market

    By Editors | 26/01/2024

    All foreign institutional investors that have already conducted spot trading in the interbank bond market will be allowed to participate in the repo market.

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    Conduct, Culture & Accountability

    CFA Institute Report Examines Finfluencer Phenomenon

    By Mark Johnston | 26/01/2024

    A new report examines the role and impact of financial influencers on social media platforms and the implications for investment firms and regulators.

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    Trading & Investment

    South Korea to Ease Regulations for P2P Lending Platforms

    By Mark Johnston | 25/01/2024

    The FSC announces plans to ease regulations and support the growth of the P2P lending industry.

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    Trading & Investment

    KOFIA to Draw Up Measures to Resolve ‘Korea Discount’

    By Sanday Chongo Kabange | 25/01/2024

    Measures include inducing listed companies to improve their dividend payout ratios and enhance investment returns for shareholders.

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    Trading & Investment

    BGC Group Wins CFTC Approval to Challenge CME Dominance

    By Mark Johnston | 25/01/2024

    BGC Group won approval to operate an exchange for US Treasury and SOFR futures and deliver competition across the CME’s US interest rate complex.

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    Trading & Investment

    SEBI to Allow Stock Exchange Mechanism for Share Sales to Employees

    By Ajoy K Das | 25/01/2024

    The new framework for OFS transactions to company employees is expected to cut costs and time of issuance.

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