Securities / Derivatives

Securities / Derivatives

Indian Market Manipulation Cases Surge to Record High

By Editors | 07/06/2017

SEBI (Securities and Exchange Board of India) inquiries into possible market manipulation hit a record high of 174 in the […]

Market Infrastructure

Pakistan Confirms Further Progress on IOSCO Principles

By Editors | 07/06/2017

SECP (the Securities and Exchange Commission of Pakistan) sent a report to IOSCO (the International Organization of Securities Commissions) this […]

Securities / Derivatives

Get Ready for Expanded OTC Derivatives Reporting – SFC

By Editors | 05/06/2017

The Hong Kong SFC (Securities and Futures Commission) issued a circular telling licensed corporations to ensure their systems are prepared […]

AML / KYC

MAS Issues Retail Derivative, OTC Licensing Consultations

By Samuel Riding | 01/06/2017

Stiffer requirements for retail dealing in unlisted derivatives; licensing exemption for remote clearing members.

Securities / Derivatives

MAS Issues Retail Derivative, OTC Licensing Consultations

By Editors | 01/06/2017

MAS (the Monetary Authority of Singapore) issued a consultation paper on the regulatory framework for unlisted derivatives offered to retail […]

AML / KYC

Japan FSA Anticipates ‘C2B’ Banking System

By Samuel Riding | 31/05/2017

Commissioner Nobuchika Mori suggests fintech will facilitate provision of ‘bespoke products to mass customers’.

Capital / Liquidity

ASIC Eyes Regtech Expansion

By Samuel Riding | 29/05/2017

Securities watchdog looks to bring more regulation and compliance technology into innovation hub, sandbox.

Securities / Derivatives

APAC Regulators Welcome Global FX Code

By Samuel Riding | 25/05/2017

Regulators from Australia, Hong Kong, India, Korea and Singapore say they will ‘promote adherence’.

Market Infrastructure

HK Market Infrastructures Pass CPMI-IOSCO Test With Aplomb

By Samuel Riding | 25/05/2017

Study confirms frameworks for payment and securities settlement systems, CCPs and trade repositories meet PFMI.