Securities / Derivatives

Securities / Derivatives

S. Korea Brokerages Lack Internal Warning Systems – FSS

By Garima Chitkara | 09/08/2018

Korean brokerages don’t have adequate internal systems that could prevent fat-finger errors like those that affected Samsung Securities in April.

Securities / Derivatives

CSRC Consults on Revised Mutual Funds Disclosure Rules

By Emma Zhou | 08/08/2018

New guidelines aim to protect the interests of investors by improving the quality of and access to disclosures and increasing accountability in the asset management sector with regard to disclosures.

Securities / Derivatives

SEBI to Discontinue Sub-Brokers as Registered Market Intermediaries

By Garima Chitkara | 07/08/2018

Sub-brokers will no longer exist as a regulatory category at SEBI and will need to become trading members or authorised persons starting from 31 March 2019.

Securities / Derivatives

ASIC Finalises Review Of Exchange Traded Products

By Garima Chitkara | 06/08/2018

ASIC review concludes that the ETP market is performing well in general, however, some concerns were raised on spread management and market maker concentration.

Securities / Derivatives

SFC Warns Against Disguised Margin Financing

By Editors | 06/08/2018

Suspected margin financing arrangements involve unlicensed affiliates of licensed corporations or third parties who appear to be engaging in securities margin financing without an SFC licence in order to circumvent regulatory requirements.

Securities / Derivatives

China Raises Reserves Required to Short Yuan in Bid to Stem Losses

By Editors | 06/08/2018

Chinese yuan reached its lowest level since end-May 2017 amid growing economic uncertainty and trade war concerns, prompting the PBOC to defend the currency by making it more costly to bet on weakness.

Securities / Derivatives

China Proposes Easing Rules on ‘Strategic’ Foreign Investment in A-Shares

By Garima Chitkara | 01/08/2018

Ministry of Commerce consultation paper proposes to reduce lock-in period from three years to one and to reduce ownership and asset management thresholds.

Securities / Derivatives

RBI Expands List of Eligible Government Bonds Short Sellers

By Garima Chitkara | 30/07/2018

RBI has allowed any entity with approval from a financial regulator to undertake short selling in government securities in addition to the current list of eligible short sellers.

Securities / Derivatives

China Amends Delisting Rules Amid Vaccines Scandal

By Manesh Samtani | 30/07/2018

Any company involved in illegal activities, disclosure rule violations, or whose action threatens public health, national or ecological security will face compulsory delisting from domestic exchanges.