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Coverage of regulatory developments, market trends, and operational standards across asset classes, financial products, and trading venues.
Supervision & Enforcement
SFC Fines Fulbright Securities Over Short Selling Controls
By Editors | 23/12/2020
Fulbright Securities failed to detect and prevent illegal short selling failures in at least 93 instances over a period of at least six months.
Structural Regulation
Hang Seng Index Operator Seeks ‘More Balanced Representation’
By Editors | 22/12/2020
Hang Seng Indexes Company proposes to increase the number of constituent stocks in the HSI, lower the weight cap, and remove the minimum listing history requirement.
Trading & Investment
China to Accelerate Development of Domestic Derivatives Market
By Sanday Chongo Kabange | 22/12/2020
China’s financial futures and options market “far lags” market participants’ growing needs to manage their risks, said CSRC vice chairman Fang Xinghai.
Trade Based Money Laundering
Regulation Asia: Top Ten News Stories for 2020
By Editors | 22/12/2020
This list presents the most-read new stories published by Regulation Asia in 2020, based on aggregated user traffic analytics.
Market Abuse
FSC Korea Unveils Additional Measures to Curb Illegal Short Selling
By Editors | 21/12/2020
The FSC will place new restrictions on market makers, revamp the rebate system, and set up a new monitoring system to detect illegal short selling activity.
Structural Regulation
China Seeks to Improve Market Quality with New Delisting Rules
By Editors | 21/12/2020
Companies will be automatically delisted if their shares close below 1 yuan, or their market value remains below 300mn yuan, for 20 consecutive trading days.
Trading & Investment
ASIC Probes Market Participants for Possible Best Execution Failures
By Manesh Samtani | 21/12/2020
ASIC is concerned Chi-X as an alternative venue did not see more trading activity during ASX’s November outage, as would be expected given participants’ best execution duty to clients.
Structural Regulation
SFC Consults on Amendments to Code on Pooled Retirement Funds
By Editors | 20/12/2020
Given the wide participation in Hong Kong by employers and employees in ORSO schemes which invest in PRFs, appropriate investor protection should apply.
Trading & Investment
China Fund Managers Prepare to Launch Cross Market Bond ETFs
By Editors | 17/12/2020
Five fund managers have reportedly applied to launch bond index funds that can be traded on the Shanghai exchange, Shenzhen exchange, or the interbank market.
Trading & Investment
US Treasury Labels Vietnam, Switzerland as Currency Manipulators
By Editors | 17/12/2020
Taiwan, Thailand, and India have been added to Treasury’s monitoring list. Singapore intervened in the foreign exchange market in a “sustained, asymmetric manner”.
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