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Market Abuse
UPDATED – NSE Ordered to Pay Disgorgement in Co-Location Case
By Editors | 01/05/2019
NSE will also be prohibited from issuing an IPO and launching new derivatives products for six months. Two former managing directors also found to be guilty.
Clearing & Post-Trade
SEBI Cuts Net Worth Requirements for Gift City Clearing Corporations
By Editors | 29/04/2019
SEBI slashes minimum net worth requirements for clearing corporations operating in India’s international financial services centre from 3 billion to 1 billion rupees.
Trading & Investment
NSE Raises Margins on Futures, Options with High Open Interest
By Editors | 29/04/2019
The National Stock Exchange of India has raised trading margins required for stock futures and options by up to 300%, depending on market wide position limits.
Trading & Investment
SEBI Enables Greater Retail Access to REITs, InvITs
By Editors | 24/04/2019
The regulator has reduced the minimum subscription size and introduced defined trading lots for real estate and infrastructure investment trusts in India.
Fraud, Scams & Cybercrime
Deloitte Indian Unit Under Investigation in IL&FS Case
By Editors | 16/04/2019
A letter from a whistleblower at Deloitte’s local India unit has triggered a malpractice investigation into its role as auditor for the troubled IL&FS group.
Cybersecurity
India Brokers Asked to Report on AI, ML Systems by 15 Apr
By Editors | 13/04/2019
In line with January circular from SEBI, BSE India has asked stock brokers to submit their cybersecurity compliance reports for the Jan-Mar quarter.
Clearing & Post-Trade
SEBI Issues CCP Guidelines for Risk-Based Capital, Net Worth
By Editors | 12/04/2019
New norms have been issued by India’s regulator on computing risk-based capital and net worth requirements for clearing corporations.
Structural Regulation
SEBI Proposes SRO Nomination Plan for Mutual Fund Distributors, Advisers
By Editors | 02/04/2019
A consultation proposes the creation of a nomination committee comprising external experts to recommend a self regulatory organisation for mutual fund distributors and advisers to curb mis-selling.
Trading & Investment
NSE, SGX Reach Agreement on India Derivatives
By Editors | 01/04/2019
NSE and SGX have reportedly finalised an agreement that will enable SGX to offer trading in Nifty derivatives to Singapore investors through a special purpose vehicle operating as a broker at GIFT City.
Payments & Settlements
SEBI Updates Disaster Recovery Guidelines for Market Infrastructures
By Editors | 01/04/2019
Stock exchanges, depositories and clearing corporations must have in place business continuity plans and disaster recovery policies that ensure ‘zero data loss’
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