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Enforcement
US SEC Charges Chinese Traders in Market Manipulation Scheme
By Editors | 21/10/2019
The market manipulation scheme involved 18 traders primarily based in China, over 3,900 US-listed securities and over $31mn in illicit profits.
Enforcement
Former Supervisor at ICBC Unit Settles with US SEC
By Editors | 18/10/2019
The former supervisor of ICBC’s US broker-dealer unit has agreed to settle charges for failures involving the improper handling of transactions of ADRs.
Capital / Liquidity
US Fed Finalises Easier Capital, Liquidity Rules for Banks
By Editors | 14/10/2019
Banks that present less risk, including foreign banks, will have reduced requirements. An idea to subject US branches of foreign banks to new liquidity requirements has also been dropped.
Securities / Derivatives
SEBI Allows Indian Firms to Issue Depository Receipts
By Editors | 12/10/2019
Domestically listed companies will be allowed to issue depository receipts on certain international bourses as well as on GIFT City exchanges.
Sanctions
Philippine SEC Proposes New Rules for REITs
By Editors | 10/10/2019
The SEC hopes to develop a viable REIT market to provide funding for infrastructure projects and investment opportunities for local investors.
Capital / Liquidity
Volcker Rule Rewrite Gets Final Approval After Fed Sign-off
By Editors | 10/10/2019
The revisions continue to prohibit proprietary trading, while providing greater clarity and certainty for activities allowed under the law.
Capital / Liquidity
Initial Margin Challenges Confronting Asian Markets
By Purtini Joshi | 08/10/2019
DTCC’s Purtini Joshi outlines three key challenges firms need to address to ensure compliance with Phase 5 and Phase 6 implementation of initial margin regulations.
New HKMA Chief Signals Priorities for Term Ahead
By Manesh Samtani | 04/10/2019
Incoming HKMA chief Eddie Yue vowed to defend Hong Kong’s currency peg, promote market development opportunities, and foster a better ecosystem for fintech, regtech and suptech.
Market Infrastructure
CFTC Proposals on Foreign CCPs Can be Improved: WFE
By Editors | 26/09/2019
While the WFE welcomes the CFTC proposals as a step towards reducing regulatory fragmentation, it says they can be made more risk-sensitive and better tailored to today’s markets.
Securities / Derivatives
Taiwan to List First Offshore Nasdaq-100 Index Futures
By Editors | 26/09/2019
Monday will mark the first time Nasdaq-100 index futures are listed outside the US, the result of a collaboration between CME Group and TAIFEX.
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