Securities / Derivatives

Taiwan Regulator to Get Tough on Leaks at Brokerages

05/08/2014

The Financial Supervisory Commission is taking a tougher stand on the release of client notes by securities houses involving listed companies and their stock prices in a bid to curb market speculation.

China to Toughen Securities Rules against Insider Trading, IPO Fraud

05/08/2014

China’s securities regulator said it will support legislations that will offer tougher punishment for insider trading, accounting fraud, market manipulation and dereliction of duties by brokerage firms.

Singapore Tightens Securities Rules

04/08/2014

Singapore is strengthening its securities rules by introducing a minimum trading price for main board shares to combat excessive speculation of low-priced securities and market manipulation.

HKEx to Promote CES 120 Futures ahead of Shanghai-Hong Kong Stock Connect

04/08/2014

Hong Kong Exchanges and Clearing said it plans to promote the use of CES China 120 index futures contract as a hedging and risk management tool ahead of the implementation of the cross-border stock investment program — Shanghai-Hong Kong Stock Connect.

IOSCO Surveys Impact of Warehouses on Commodity Pricing

04/08/2014

The International Organization of Securities Commission (IOSCO) aims to explore ambiguities in the rules governing commodity warehouses as well as conflicts of interest due to their ownership, and how those affect the pricing of commodity derivatives.

DTCC to Launch Client Data, Documentation Hub

01/08/2014

The Depository Trust & Clearing Corporation, the world’s largest post-trade services provider, announced the establishment of the client data and documentation solution Clarient Entity Hub, which is designed to provide increased controls, standardization and transparency in managing client information.

China – The New SAFE Regulations: A Sea Change In PRC-Related Financing?

01/08/2014

This article looks at the new SAFE Regulations and examines some of the changes in financing practice that we may expect to see in PRC-related financings.

Australian Regulator to Review Broker Dark Pools

30/07/2014

The Australian Securities and Investments Commission will conduct reviews of broker dark pools over the next 12 months, as regulators globally investigate alleged abuses in the operation of alternative trading venues.

ASX Seeks Improvements in Operation, Says ASIC

30/07/2014

The Australian Securities Exchange Ltd will explore enhanced procedures around the operation of its futures market and consider listing applications from emerging market issuers as part of improvements the bourse intends to work on together with the country’s securities regulator.