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Coverage of regulatory developments, market trends, and operational standards across asset classes, financial products, and trading venues.
Market Abuse
KRX Probes Market Makers’ Compliance With Short Selling Rules
By Editors | 02/11/2020
The inspection will cover all 22 market makers, focusing on whether they conducted naked short selling and whether they violated the uptick rule.
Trading & Investment
China Further Opens Domestic Markets to Foreign Investors
By Manesh Samtani | 01/11/2020
Qualified foreign investors can lend out and borrow stock holdings to enable their use in short-selling, and trade equity index futures on the CFFEX.
Structural Regulation
HK to Allow Secondary Listings from Some Corporate WVR Companies
By Manesh Samtani | 01/11/2020
Subject to certain requirements, Greater China issuers primary listed on the Nasdaq, NYSE or the LSE’s premium listing segment will be allowed to secondary list in Hong Kong.
Trading & Investment
TSE Invites Firms to Register for New RFQ Platform for ETFs
By Editors | 01/11/2020
The new platform, CONNEQTOR, will be ready for production use next month, allowing institutional investors to send RFQs to market makers.
Trading & Investment
PBOC to Scrap Market Maker Approval Process in Interbank Market
By Sanday Chongo Kabange | 01/11/2020
The PBOC proposes to allow banks and securities firms to only sign an agreement with trading platforms to conduct market making business.
Structural Regulation
US, Thailand Partner to Strengthen Infrastructure Finance
By Editors | 30/10/2020
The cooperative initiative will focus on the development of financial instruments, project finance, the local debt market, and capital markets.
Trading & Investment
Dhaka Bourse Trials Pre-Opening, Post-Closing Sessions
By Duruthu E Chandrasekera | 28/10/2020
BSEC Executive Director Mohammad Saifur Rahman told Regulation Asia the pre-opening and post-closing sessions will be effective as early as next month.
Trading & Investment
China Explores Rule Relaxations to Facilitate Cross-Border Investment
By Manesh Samtani | 28/10/2020
China’s regulators are working to further relax restrictions on cross-border investment and create new channels for domestic and foreign investors alike.
Trading & Investment
CSRC Updates Rules to Protect Convertible Bond Investors
By Editors | 28/10/2020
Trading venues will have to develop an investor suitability management system, and securities firms will have to conduct client suitability assessments.
Trading & Investment
FSS Bans Unlicensed Investment Advice on Online Chatrooms
By Editors | 27/10/2020
Unlicensed advisers are barred from giving one-on-one investment advice to clients, but chat rooms have been serving as platforms for illegal consulting.
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