SECURITIES / DERIVATIVES

Securities / Derivatives

Updated – ANZ, Macquarie to Pay $11mn for ‘Cartel Conduct’

By Samuel Riding | 27/11/2016

Two banks admit cartel conduct in trading MYR forex contracts out of Singapore in 2011.,

Market Infrastructure

HK, China Clearers Set to Open ‘Stock Connect’ Accounts

By Samuel Riding | 24/11/2016

Move aims to ‘facilitate capital market connectivity and standardise cash flow’.

Capital / Liquidity

Sri Lanka Introduces Risk-based CAR for Brokers

By Samuel Riding | 24/11/2016

Regulator and exchange will prompt brokers before CAR reaches minimum threshold.

Securities / Derivatives

CRS in APAC – Are Organisations Ready?

By Editors | 24/11/2016

APAC survey benchmarks ‘state of readiness’ and emerging implementation trends.

Market Infrastructure

S.Korea FSC Hands Derivative Product Decisions to Exchange

By Samuel Riding | 23/11/2016

Regulator to introduce stress tests at securities firms; aims to enhance global competitiveness.

Securities / Derivatives

ASIC Pursues Civil Claim for Market Integrity Breaches

By Samuel Riding | 23/11/2016

Regulator has issued 51 infringement notices since 2010; case relates to only one not complied with.

Market Infrastructure

IOSCO Appoints Quintet of APAC Regulators to Top Roles

By Samuel Riding | 23/11/2016

SEBI officials appointed as committee chairs; Australia, HK and Malaysia regulators as vice chairs.

AML / KYC

Malaysia SC Makes Key Appointments

By Samuel Riding | 22/11/2016

Regulator appoints Gumuri Hussain as executive chairman of Audit Oversight Board; Foo Lee Mei as chief regulatory officer.

Market Infrastructure

CSRC ‘Punishes’ Investor for Illegal Stock Connect Trading

By Samuel Riding | 21/11/2016

Regulator has recently warned of market manipulation; Shenzhen-HK link due to launch this month