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Trading & Investment
Coverage of regulatory developments, market trends, and operational standards across asset classes, financial products, and trading venues.
Structural Regulation
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.
Operational Risk
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.
Trading & Investment
New Rules for CFD Trading Take Effect in Korea
By Editors | 03/09/2023
Only four of 13 local securities firms that offered CFD trading have decided to resume the service under the new regulations.
Trading & Investment
CSRC Unveils 19-Point Enhancement Plan for Beijing Stock Exchange
By Editors | 01/09/2023
The plan includes more market makers, and greater participation from overseas investors, publicly offered funds, and private equity funds, among other measures.
Trading & Investment
Investors Sue MUFG Unit Over Credit Suisse AT1 Losses
By Editors | 01/09/2023
The plaintiffs say Mitsubishi UFJ Morgan Stanley Securities sold them the AT1 bonds without providing sufficient explanations and in violation of suitability rules.
Credit Risk
PBOC Pledges to Ease Funding Access for Private Enterprises
By Editors | 01/09/2023
Lenders will be required to set annual goals for lending to private enterprises; this lending will carry extra weight in banks’ performance reviews.
Trading & Investment
Taiwan Allows Domestic Stocks to be Used as Collateral Overseas
By Editors | 30/08/2023
The measure will allow foreign investors to participate in overseas investment activities without having to sell their positions in Taiwan stocks.
Cryptocurrency
US Court Orders SEC to Review Grayscale Bitcoin ETF Application
By Editors | 30/08/2023
The court said the SEC failed to adequately explain why it approved the listing of bitcoin futures ETPs but not Grayscale’s proposed spot bitcoin ETF.
Trading & Investment
HK Establishes Task Force on Enhancing Stock Market Liquidity
By Sanday Chongo Kabange | 30/08/2023
The task force will review factors affecting stock market liquidity including the stamp duty and make policy recommendations.
Trading & Investment
Malaysia SC Further Liberalises Fund Management Industry
By Editors | 29/08/2023
The measures are designed to give high net worth entities and institutional investors access to a wider range of investment options.
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