Securities / Derivatives

    Securities / Derivatives

    IOSCO Publishes Guidance Addressing Equity Raising Conflicts of Interest

    By Editors | 19/09/2018

    The guidance comprises eight measures to address conflicts of interest and sets standards of conduct for market intermediaries in the equity capital raising process.

    Market Infrastructure

    Independent Amount – 10 Years and No Change Since Lehman Collapse

    By Matthieu Sachot | 19/09/2018

    Counterparties are exposed to material downside risk in posting collateral without restrictions on rehypothecation or non-segregation, says Matthieu Sachot at Chappuis Halder & Co.

    Securities / Derivatives

    Chinese Brokers Receive Lukewarm Response from Expat Investors

    By Manesh Samtani | 18/09/2018

    Foreign nationals in China can now open trading accounts at local brokerages, but so far brokers and investors appear unenthusiastic, say reports.

    Securities / Derivatives

    Taiwan to Launch Exchange Traded Notes in Q2 2019

    By Editors | 17/09/2018

    Brokers issuing ETNs must have a net worth exceeding $325mn and a capital adequacy ratio of at least 250%.

    Market Infrastructure

    NEX Launches OTC Derivatives Reporting Solution in Australia

    By Editors | 17/09/2018

    The solution ensures data integrity and quality before delivery to CME Group or DTCC Asia licensed trade repositories.

    Securities / Derivatives

    KRX Tightens Per-Order Limit for Stock Trades

    By Editors | 14/09/2018

    Investors will be allowed to buy a maximum of 1% of a company’s total shares starting 17 September, a rule aimed at preventing error trades.

    Market Infrastructure

    China Boosts Oversight over Domestic Ratings Agencies

    By Manesh Samtani | 13/09/2018

    PBOC, CSRC and NAFMII will collaborate on unified regulations and processes for ratings in the interbank and exchange-traded bond markets.

    Market Infrastructure

    NZX, Nasdaq Agree to Explore Cross Market Access

    By Manesh Samtani | 12/09/2018

    The exchanges will explore opportunities to promote dual listings, depository receipts, ETFs and broader market development initiatives.

    AML / KYC

    SEBI Changes Course on Foreign Investor KYC Requirements

    By Garima Chitkara | 11/09/2018

    SEBI may be going back on new rules restricting non-resident Indians and persons of Indian origin from investing in India via the FPI route.

    Capital / Liquidity

    SFC Proposal to Restrict Margin Lending Threatens Brokers’ Survival – Report

    By Garima Chitkara | 11/09/2018

    LegCo member Christopher Cheung met with SFC chairman Carlson Tong to represent broker concerns on potential margin lending restrictions.

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