SECURITIES / DERIVATIVES

Market Infrastructure

Indian Gov’t Says NSE Gave Preferential Access

By Samuel Riding | 12/12/2016

Finance minister Arjun Meghwal says loophole making system prone to manipulation closed on 3 December.

AML / KYC

HK SFC Fined Firms $3.33mn in 1H16

By Samuel Riding | 09/12/2016

Disciplinary actions up 67%; civil proceedings rise 23%; completed investigations increase by 24%.

Market Infrastructure

SGX Glitch Halts Derivatives Trading

By Samuel Riding | 09/12/2016

December Nikkei 225 Futures the largest contract hit by delay 5 months after main board malfunction.

Securities / Derivatives

AML & Open Data: The End of Privacy?

By Editors | 08/12/2016

Why regulation alone will not address risks arising from technological advances.

Market Infrastructure

Thailand ‘Sandbox’ to Allow 3 Fintech Services

By Samuel Riding | 08/12/2016

Regulator to allow work on private funds, investment advice, clearing and settlement.

Securities / Derivatives

PSE Kicks off USD Securities Regime

By Samuel Riding | 08/12/2016

Exchange to hold training sessions for traders and back office staff; expects REIT regulation soon.

Securities / Derivatives

Japanese Regulator Recommends Morgan Stanley Fine

By Samuel Riding | 07/12/2016

SESC suggests unit be fined $1.9mn for market manipulation including placing orders without intent to trade.

AML / KYC

Philippine Central Bank Pushes Reform of 23-Year-Old Charter

By Samuel Riding | 07/12/2016

Reform would see BSP receive more financial support to enhance regulatory and supervisory powers.

Securities / Derivatives

APRA, HKMA Confirm Variation Margining Implementation

By Samuel Riding | 07/12/2016

Implementation on margining and risk mitigation requirements to begin as set out under Basel III in both jurisdictions.