Worldwide: Commodities/Derivatives/Stock Exchanges

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Finance law and banking law thought leadership, articles, podcasts, videos and webinars from expert sources across the legal world. Explore insights covering topics such as capital adequacy, BASEL, acquisition finance, debt capital markets, fund finance, islamic finance, securitization and structured finance.
Article
Unique Product Identifiers – ANNA-DSB & The UPI
The Unique Product Identifier (UPI) serves as a critical component of common data elements under EMIR, UK EMIR, ASIC, and MAS regulations, designed to identify OTC derivative products in transaction reporting. This article explores how UPIs work alongside Legal Entity Identifiers (LEIs) and examines the role of ANNA-DSB as the centralized service provider managing the UPI Reference Data Library. Understanding the methods for obtaining and creating UPIs is essential for firms navigating derivative transactio
Australia Finance
TRAction
Article
UPIs – What Information Is Needed To Search/create A UPI?
The Unique Product Identifier (UPI) serves as a critical code for OTC derivatives reported to trade repositories, now mandatory across EMIR, ASIC, and MAS regulations. Understanding how to search and generate UPIs through ANNA DSB requires specific product attributes and data points that vary by asset class. TRAction provides comprehensive UPI retrieval services, navigating the complex and evolving process of obtaining these essential identifiers for regulatory compliance.
Australia Finance
TRAction
Article
How To Avoid A Trade Reporting Fine In 6 Steps
ASIC recently issued an infringement notice to Deutsche Bank Aktiengesellschaft (Deutsche Bank), which paid a penalty of $2 million for misreporting more than 260,000 over-the-counter (OTC) derivative transactions. This is a step-change in scale for ASIC trade reporting enforcement – roughly four times the combined AMP Life/AMP Capital penalties ($526,000, 2020) and more than fifteen times the Westpac penalty ($127,250, 2017), both issued under the earlier reporting rules regime.
Australia Finance
TRAction
Article
Bank Of Thailand’s Cash, Gold, And Digital Asset Controls Combating The Grey Economy
Thailand's central bank has announced comprehensive new regulations targeting grey capital flows through cash transactions, gold trading, and stablecoins, with enforcement beginning in Q4 2026. The measures impose strict verification requirements on high-value deposits and withdrawals, enhanced reporting obligations for bullion dealers, and joint BOT-SEC audits of cryptocurrency transactions. Financial institutions and businesses must prepare for heightened compliance standards across multiple transaction c
Thailand Finance
TG
Tilleke & Gibbins
Article
GIFT City & HFT Regulatory Disputes
Global algorithmic traders and HFT firms entering GIFT City face a complex regulatory landscape where millisecond trading decisions can trigger cross-border jurisdictional disputes. When high-frequency trading systems collide with overlapping IFSC and domestic Indian regulations, technical glitches transform into serious compliance crises that demand coordinated legal and operational responses rather than purely technical fixes.
India Finance
AA
Agama Law Associates
Article
新規株式公開（IPO）の準備：プロモーターのための体系的アプローチ
新規株式公開（IPO）は、企業の成長過程における最も重要な節目のひとつです。IPOは単なる資金調達手段ではなく、少数の関係者によって所有される企業が、規制を遵守し情報開示を行い、制度的なガバナンスに基づいて運営される組織へと移行することを意味する、根本的な事業変革でӕ
India Finance
A
Acuity Law
Article
From Policy To Proof: Building Governance Systems That Withstand Sebi And Stock Exchange Scrutiny
A SEBI or stock exchange query is often treated as a compliance event to be managed after it arrives. That reaction is understandable, but structurally weak. A query is rarely confined to the words used in the email it comes with. It is usually a verification exercise: the regulator is testing whether the listed entity’s explanation is supported by a contemporaneous governance trail.
India Commercial
CP
Corporate Professionals
Article
General Newsletter – May 2026
DSK Legal's May 2026 newsletter delivers comprehensive updates across multiple practice areas including capital markets, competition law, dispute resolution, employment law, infrastructure, international trade, media and entertainment, corporate affairs, banking regulations, insolvency, sports and gaming, and white collar crime. The newsletter provides expert analysis and regulatory insights to help legal professionals and businesses navigate the evolving legal landscape across diverse sectors.
India Commercial
DL
DSK Legal
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