SR-OCC-2018-009) June 26, 2018 Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Facilitate Reporting Under Commodity Futures Trading Commission Regulations Applicable to Derivatives Clearing Organizations Pursuant to …
The Securities and Futures Commission (SFC) notes with concern the growing investor interest in gaining exposure to virtual assets via funds and unlicensed trading platform operators in Hong Kong. Securities and Futures Act. Exchange Commission’s Major Issues Conference: Securities Regulation in the Global Internet Economy, 15 November 2001). Securities and Futures (Financial Benchmarks) Regulations 2018. Securities and Futures. Chapter X List for Broker/Dealer (Updated November 18, 2010); Chapter X List for Commodities/Futures (Updated November 18, 2010) FAQ of Securities and Futures Market(doc, odt)(2018.2.8) 3. Securities and Futures (Financial Benchmarks) Regulations 2018. REMINDER: As of April 1, 2013, financial institutions must use the new FinCEN reports, which are available only electronically through the BSA E-Filing System.FinCEN is no longer accepting legacy reports. Add to My Collections. Regulations 2017 The Securities and Futures (Amendment) Act 2017 passed by Parliament on 9 January 2017 introduces wide-ranging amendments to the Securities and Futures Act (SFA) and provides the Monetary Authority of Singapore (MAS) with legislative powers to complete its implementation of over-the-counter (OTC) derivatives reforms. partnership where each partner is an accredited investor) and institutional investors (e.g., designated market-maker and registered fund management company) for …

Securities and Futures (Classes of Investors) Regulations 2018 Prescribes additional persons as accredited investors (e.g. 34-83519; File No. 40: 60: HK$1,550: Paper 4 136 — September 2018 Beyond International Standards: Mapping the Future of Capital Markets Regulation Cally Jordan. Regulations 2017 The Securities and Futures (Amendment) Act 2017 passed by Parliament on 9 January 2017 introduces wide-ranging amendments to the Securities and Futures Act (SFA) and provides the Monetary Authority of Singapore (MAS) with legislative powers to complete its implementation of over-the-counter (OTC) derivatives reforms. Status: Uncommenced as at 17 May 2020 Print . or find current version as at. Status: Uncommenced as at 17 May 2020 Print . The Regulations will implement a framework requiring over-the-counter (“ OTC ”) derivatives … Securities and Futures (Financial Benchmarks) Regulations 2018. Regulation 12 of the Organised Markets Regulations came into force on 1 October 2018 and requires an approved exchange (e.g. (Classes of Investors) Regulations 2018. The Securities and Futures (Amendment) Act 2017 (“SF(A)A”) took effect on 8 October 2018. Fundamentals of Securities and Futures Regulation(Valid for LEs up to and including 1 June 2020) 60: 90: HK$1,275: Paper 1 (version 3.1) Fundamentals of Securities and Futures Regulation(Valid for LEs from 2 June 2020) 60: 90: HK$1,275: Paper 2 Regulation of Securities 40: 60: HK$1,550 Paper 3: Regulation of Derivatives. Amendments RSS Feed. Together with new and revised underlying regulations, notices and guidelines that were simultaneously released, the SF(A)A introduces changes to rules in connection with licensing, prospectus requirements, conduct of business and market misconduct. Current version as at 20 Feb 2020. For more information, click here. The Securities and Futures (Clearing of Derivatives Contracts) Regulations 2018 (“Regulations”) were gazetted on 2 May 2018 and will come into operation on 1 October 2018. 2 Policy Brief No. FAQ of Bond Market (doc, odt)(2018.2.5) 2. IOSCO, along with the European Securities Regulator, the SEC, the China Securities Regulation Commission and other major regulators, can be expected to co-ordinate their efforts much more closely in the coming decade to meet essentially international challenges. Search within Legislation. FAQ of Multi-Currency Funds Including NTD and Foreign Currencies Denominated Funds doc, pdf)(2013.12.27) 5.Corporate Governance: (2013.9.5) 5.1 …

Commission Delegated Regulation (EU) 2018/1229 of 25 May 2018 supplementing the Central Securities Depositories Regulation (EU) 909/2014 (CSDR) with regard to regulatory technical standards (RTS) on settlement discipline, has been published in the Official Journal of the EU and will therefore enter into force on 13 September 2020. KARACHI: The Securities and Exchange Commission of Pakistan (SECP) has introduced amendments to the Securities and Futures Advisers (Licensing and Operations) Regulations, 2017, notified vide SRO No 253(I)/2018.

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