Trading & Investment

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

    Trading & Investment

    Hong Kong Considers Replacing State Street as TraHK Manager

    By Editors | 26/05/2021

    Officials reportedly commissioned an independent study to review State Street’s role in managing Hong Kong’s Tracker Fund.

    Trading & Investment

    CBIRC Approves Goldman Sachs Wealth Management JV

    By Editors | 26/05/2021

    Preliminary approval will allow Goldman Sachs Asset Management to own a 51 percent stake in the joint venture with ICBC Wealth Management.

    Conduct, Culture & Accountability

    IOSCO Explores Conduct Risks in Leveraged Loan, CLO Markets

    By Editors | 25/05/2021

    IOSCO is looking to understand potential conflicts of interest and misaligned incentives that may exist among participants in the leverage loan and CLO markets.

    Market Abuse

    China: Policymakers Warn Against Commodity Market Speculation

    By Editors | 25/05/2021

    Regulators will strengthen supervision of commodity futures and the spot market with a “zero tolerance” for illegal activities.

    Trading & Investment

    Philippine Bourse Ordered to Show Progress on SME Listings

    By Sanday Chongo Kabange | 24/05/2021

    The order from the DOF follows the introduction of new listing rules in March, which are aimed at encouraging greater SME participation in the stock market.

    Trading & Investment

    ESMA Recommends Lower Short Position Reporting Threshold

    By Editors | 24/05/2021

    ESMA says a “substantial amount” of essential information became available to NCAs after the notification threshold was lowered to 0.1% last year.

    Market Abuse

    Nomura, UBS, UniCredit Fined for Participating in Trading Cartel

    By Editors | 24/05/2021

    During Europe’s sovereign debt crisis, the banks shared information about their EGB bidding and trading strategies in Bloomberg terminal chat rooms.

    Climate Risk

    Korea Brokers Join Emissions Trading Scheme as Market Makers

    By Editors | 24/05/2021

    Participation by the brokerage firms as market makers will help reduce bid-ask spreads and keep Korea’s emissions trading market liquid.

    Trading & Investment

    CME Group to be Recommended as SOFR Term Rate Administrator

    By Editors | 24/05/2021

    A recommended SOFR term rate is now in clear sight, said Tom Wipf, ARRC Chairman and Vice Chairman of Institutional Securities at Morgan Stanley.

    Trading & Investment

    Hainan Unveils 3-Year Plan to Improve Investment Environment

    By Sanday Chongo Kabange | 24/05/2021

    The Hainan action plan encourages regional businesses to pursue financing by listing on both domestic and overseas exchanges.

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