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Securities / Derivatives
SFC Asks Licensed Firms to Review Controls on Third-Party Deposits
By Editors | 01/06/2019
Senior management will be held accountable for failures to put in place effective policies, procedures and controls for handling third-party deposits and payments.
Market Infrastructure
S. Korea FSC Announces Derivatives Market Reforms
By Editors | 31/05/2019
The minimum deposit requirements will be abolished for professional investors and eased for retail investors. The minimum 20-hour compulsory training requirement will be reduced.
Securities / Derivatives
South Korea Cuts Securities Transaction Tax
By Editors | 30/05/2019
FSC chairman Choi Jong-ku has repeatedly called for a cut in the securities transaction tax to ease the burden it places on stock and mutual fund trades.
Fintech / Regtech
SEBI Floats Discussion Paper on Sandbox for Regulated Entities
By Editors | 30/05/2019
Under the proposed framework, entities regulated by SEBI will be granted certain facilities and flexibilities to experiment with innovative solutions in a live environment and on real customers.
Securities / Derivatives
China Clarifies Treatment of CDR Proceeds for Foreign Issuers
By Editors | 30/05/2019
New rules from the PBOC and SAFE give freedom to CDR issuers to elect whether to keep the proceeds in China or send them abroad.
Capital / Liquidity
Bangladesh Imposes Limits on Bank Exposures to Non-Listed Securities
By Editors | 30/05/2019
The move comes just after the central bank allowed banks to exclude investments in non-listed securities from their capital market exposure calculations.
Securities / Derivatives
Thailand Looks to Ease Listing Rules for SMEs
By Editors | 30/05/2019
Revising the listing rules will be a key agenda item at a 1 June meeting between the SEC and SET, as the current rules may be too restrictive for SMEs.
Securities / Derivatives
SEBI Issues Disclosure Guidelines for Listed Debt Securities
By Editors | 29/05/2019
SEBI requires debenture trustees to continuously disclose the status of interest and redemption payments, meaning that any default or delay of payment will be disclosed within a day of the due date.
Market Infrastructure
ISDA Proposes Further Definition Changes to Improve CDS Market
By Editors | 29/05/2019
The new proposal will amend the definition of “Outstanding Principal Balance”, which determines the principal amount of a bond or loan that must be delivered to physically settle a CDS contract.
Securities / Derivatives
HKEX Launches First 2x Inverse ETF
By Editors | 29/05/2019
In its three year strategic plan unveiled earlier this year, HKEX said it would work to become a hub for the issuance and trading of ETFs in Asia.
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