Securities / Derivatives

Securities / Derivatives

Hong Kong SFC Launches New Online Submission Portal

By Editors | 07/01/2019

All functions and submission services available on the existing SFC Online Portal will be migrated to the new platform in phases.

Market Infrastructure

Technical Preparation for Shanghai-London Connect Completed

By Editors | 07/01/2019

The currency conversion system that delayed the launch of the Shanghai-London Stock Connect last month has now been completed.

Market Infrastructure

SEBI to Upgrade Market Surveillance System and Data Warehouse

By Editors | 04/01/2019

India’s securities regulator is looking to beef up its IT infrastructure for market surveillance and trade data analysis to improve detection of market violations.

Securities / Derivatives

HKEX Loosens Requirements to Participate in ETP Market Making

By Editors | 03/01/2019

HKEX has loosened the eligibility criteria and created a more flexible structure to allow global liquidity providers to provide market making for Hong Kong exchange-traded products.

Securities / Derivatives

SEBI to Phase-In Physical Settlement of Equity Derivatives

By Editors | 02/01/2019

India’s securities regulator will introduce mandatory physical settlement of equity derivatives in a phased approach starting April 2019.

Securities / Derivatives

Taiwan Raises Chinese Equities Investment Limit for Offshore Funds

By Editors | 02/01/2019

FSC loosens restrictions on investment in Chinese equities in response to proposed increase of China weighting in MSCI emerging markets index.

Market Infrastructure

China’s Securities Firms Under Pressure to Consolidate

By Manesh Samtani | 01/01/2019

M&A activity between domestic brokerages is set to increase, says S&P Global. Consolidation may help local players better compete against foreign entrants.

Securities / Derivatives

Chinese Bourses Limit Stock Suspensions to 10 Trading Days

By Editors | 01/01/2019

The 10 day limit for stock suspensions compares to three months allowed previously for major asset restructurings, and up to five or six months in other cases.

Enforcement

Hong Kong Asset Manager Fined for Wash Trading

By Editors | 28/12/2018

The asset management firm was both the buyer and seller in a transaction between two of its brokers, which the SFC deemed was a wash trade.