Trading & Investment

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

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    Conduct, Culture & Accountability

    NZ FMA Offers Guidance on Providing Investment Advice

    By Editors | 07/02/2023

    The guidance focuses on situations where it is difficult or impractical to access information to support reasonable grounds for financial advice on an investment product.

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    Trading & Investment

    Hong Kong, Saudi Exchanges to Explore Cross Listings

    By Sanday Chongo Kabange | 07/02/2023

    A delegation to Saudi Arabia led by Hong Kong chief executive John Lee will try to persuade Aramco to list on HKEX’s market.

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    Trading & Investment

    SEBI Proposes to Allow REITs, InvITs to Issue Depositary Receipts

    By Editors | 06/02/2023

    SEBI says the move will enable greater participation by foreign investors in domestic REITs and InvITs.

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    Market Abuse

    Indian Regulators Respond to Adani Group Stock Selloff

    By Editors | 06/02/2023

    SEBI said the market continues to function effectively. The RBI said the banking sector remains resilient and stable. Adani companies have meanwhile lost $110mn in market cap.

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    Trading & Investment

    China Launches Market Making for Exchange Bond Market

    By Editors | 06/02/2023

    The CSRC said market-making will help reduce liquidity premiums and issuance costs while also improving pricing efficiency in the exchange bond market.

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    Trading & Investment

    KRX Outlines Key Strategies to Boost Market Appeal in 2023

    By Editors | 06/02/2023

    The strategies include allowing night-time derivatives trading, a change to the dividend system, new derivatives product launches, and a new market for digital securities.

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    KYC & CDD

    India Budget to Provide Boosts to India Fintech, GIFT City

    By Editors | 06/02/2023

    The budget includes a revamp of India’s credit guarantee scheme for MSMEs and new incentives to draw companies to GIFT City.

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    Trading & Investment

    SEBI to Enhance Risk Disclosures in F&O Segment

    By Editors | 05/02/2023

    A SEBI study found that 90 percent of active retail investors trading future and options incurred losses averaging INR 125,000 in the FY 2021-22.

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    Structural Regulation

    CSRC Draft Rules to Expand New IPO System to Main Boards

    By Editors | 02/02/2023

    The registration-based IPO system adopted by the STAR Market, ChiNext and BSE will be adopted on the main boards of the Shanghai and Shenzhen exchanges.

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    Trading & Investment

    NYSE Faces Claims Over Last Week’s Trading Halts

    By Editors | 01/02/2023

    Charles Schwab, Robinhood, Virtu Financial and Citadel Securities are among the firms that submitted claims. The total impact is estimated at over $20mn.

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