Securities / Derivatives

Market Infrastructure

SEC Freezes Account of Pakistan-based Trader

By Samuel Riding | 25/05/2016

US regulator says trader manipulated stock through false regulatory filing.

Market Infrastructure

Japan Passes Virtual Currency Legislation

By Samuel Riding | 25/05/2016

Exchanges can be subject to FSA administrative orders; 2nd new law allows banks to buy non-financial firms.

AML / KYC

SFC to Consult on Investor Identity Disclosure

By Samuel Riding | 23/05/2016

Brokers could be required to disclose identities of individuals making equity trades.

Market Infrastructure

Credit Suisse Fined for Market Integrity Rule Breaches

By Samuel Riding | 20/05/2016

Australian unit fined USD50,000 for failure to have automated trading filters in place to prevent interference with market integrity.

Market Infrastructure

Myanmar Appoints New SEC Head

By Samuel Riding | 20/05/2016

Finance ministry permanent secretary U Maung Maung Win also a former deputy central bank governor.

Market Infrastructure

SSX to Develop Blockchain Settlement, Registration

By Samuel Riding | 20/05/2016

Sydney exchange’s system to be initially deployed across private markets platform.

Market Infrastructure

India Considering Additional HFT Surveillance Requirement

By Samuel Riding | 19/05/2016

Regulator also looking into speed bumps, order randomisation, trade bunching and limiting colocation access.

Market Infrastructure

Taiwan FSC Proposes Extensive Financial Markets Reform

By Samuel Riding | 18/05/2016

Regulator concludes investors face much higher costs and taxes than in rival markets.

Market Infrastructure

Vietnam’s UPCoM to Allow Margin Trading

By Samuel Riding | 17/05/2016

Market operated by Hanoi Stock Exchange to introduce dual share classification.