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Enforcement
SEBI Proposes SRO Nomination Plan for Mutual Fund Distributors, Advisers
By Editors | 02/04/2019
A consultation proposes the creation of a nomination committee comprising external experts to recommend a self regulatory organisation for mutual fund distributors and advisers to curb mis-selling.
Market Infrastructure
NSE, SGX Reach Agreement on India Derivatives
By Editors | 01/04/2019
NSE and SGX have reportedly finalised an agreement that will enable SGX to offer trading in Nifty derivatives to Singapore investors through a special purpose vehicle operating as a broker at GIFT City.
Market Infrastructure
EU, Singapore Adopt Decision to Mutually Recognise Derivatives Venues
By Editors | 01/04/2019
The European Commission recognises Singapore trading venues as MiFIR-compliant; MAS has exempted EU trading facilities from its markets licensing requirements.
Securities / Derivatives
China Retail Investors Take a Liking to Government Bonds
By Editors | 29/03/2019
China’s pilot scheme allowing banks to sell government bonds to retail investors has been met with success, with over $200mn in bonds sold in a single day.
Enforcement
Singapore Charges Three for Spoofing Index Futures
By Editors | 28/03/2019
In a MAS-CAD joint investigation, three individuals are being charged for allegedly spoofing SGX-MSCI index futures and giving false statements to SGX.
Securities / Derivatives
SGX Bolsters Forex Business with BidFX Acquisition
By Editors | 28/03/2019
The acquisition is part of SGX’s strategy to build core pillars of growth across multiple asset classes, with FX being one of its key growth pillars.
Securities / Derivatives
SEBI Amends Norms on Mutual Fund Commissions, Disclosures
By Editors | 27/03/2019
SEBI has set a cap on up-fronting of trail commissions and amended disclosure rules to “protect the interests of investors.”
Enforcement
Citigroup Faces $1.2m Fine in Japan over Alleged JGB Manipulation
By Editors | 27/03/2019
Citigroup’s London office allegedly placed large orders in the 10-year JGB futures market outside of Japanese trading hours that were not executed, but may have mislead investors.
Market Infrastructure
CFTC Expands Margin Comparability Determination for Japan
By Editors | 27/03/2019
The amended determination for Japan finds comparability regarding the scope of entities subject to the margin requirements, and the treatment of margining for inter-affiliate transactions.
Securities / Derivatives
Taiwan Launches Simulator for New Continuous Trading System
By Editors | 27/03/2019
The simulation platform will operate off-market hours and allow investors to familiarise themselves with the new system, which is set to be launched in March 2020.
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