Securities / Derivatives

    Capital / Liquidity

    ISDA Publishes Uncleared Margin Implementation Project Checklist

    By Editors | 21/02/2020

    The checklist is suggested as a resource guide to highlight key implementation considerations for entities expecting to come into scope in September.

    Securities / Derivatives

    PBOC Issues Draft Rules on Standardised Notes Issuance

    By Editors | 21/02/2020

    The draft rules seek to standardise the instrument and improve its utility as a financing channel for SMEs, while also setting out supervisory measures and applicable rights to protect investors.

    Market Infrastructure

    European Commission Launches MiFID II Review

    By Editors | 20/02/2020

    The introduction of a consolidated tape and enhancements to investor protection are high priority items in the review.

    Enforcement

    Lime Asset, Shinhan Investment Raided in Hedge Fund Misselling Probe

    By Editors | 20/02/2020

    Investigators were dispatched to both firms to secure computer drives and documents linked to alleged misselling and fraud at both firms.

    Securities / Derivatives

    SEBI Forms Municipal Bonds Development Committee

    By Editors | 18/02/2020

    The committee will advise on regulation to develop the primary and secondary markets for municipal bonds.

    ESG / Sustainability

    TWSE Amends Listed Company Guidelines to Enhance Governance, CSR

    By Editors | 18/02/2020

    The amendments include stock trading controls to prevent insider trading, ethical management units at listed companies, and disclosures of governance practices for managing climate risk.

    Capital / Liquidity

    SEBI Bars Portfolio Managers from Charging Upfront Fees

    By Editors | 18/02/2020

    SEBI has barred portfolio managers from charging upfront fees from clients and imposed caps on annual management fees and exit loads.

    Securities / Derivatives

    China: Fees Hinder Entry of Foreign Distressed Debt Funds – Report

    By Editors | 18/02/2020

    Offshore funds have to rely on accounting and law firms throughout the three- to four-year life cycle of a transaction in China, at cost of up to 15% of the transaction’s value.

    Securities / Derivatives

    Whistleblowing Policy to Become Mandatory for SGX Listed Companies

    By Editors | 18/02/2020

    SGX RegCo chief Tan Boon Gin wants to hardcode a whistleblowing policy into the Listing Rules to make compliance mandatory. A consultation will be launched in June.

    Securities / Derivatives

    Bangladesh Banks to Get Credit Support for Stock Market Investment

    By Editors | 17/02/2020

    Stock market investment through the credit support package will not count towards the maximum allowed stock market exposure of 25% of capital.

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