SEBI said the proposed ASBA-like mechanism for secondary markets is designed to safeguard client assets from broker misuse and defaults.
January 21, 2023TAIFEX will introduce customisable options contracts, extend central clearing to TWD-denominated NDFs, and build an ESG information platform for the futures market.
January 13, 2023A ban on banks paying inducements to distributors, brokers and investment advisors would fundamentally change banking business models.
January 12, 2023Brokers are directed to assign one or more MICs to oversee the implementation of the Data Standards, which was meant to be completed in April 2021.
December 23, 2022The proposals include a new best execution regulatory framework, a new order competition rule, and requirements for brokers to provide better disclosures on execution quality.
December 18, 2022The guidelines strengthen requirements for futures brokers to safeguard client assets, put in place trading controls, and set prudent client limits.
November 28, 2022ASIFMA offers three recommendations to further strengthen Korea’s capital markets and improve access for global institutional investors.
November 23, 2022Combating social media ramp-and-dump schemes remains one of the top enforcement priorities of the SFC, says executive director of enforcement, Christopher Wilson.
November 11, 2022Indirect investments in crypto assets via derivatives and investment vehicles, as well as CBDCs, will be covered by CRS, rather than CARF.
October 11, 2022The FMA is proposing to update its 2014 guidance to align with regulatory updates and incorporate additional guidance for custodians.
September 28, 2022