Securities / Derivatives

Market Infrastructure

India to Allow Integrated Commodity, Equity Broking

By Samuel Riding | 16/02/2017

Integration of exchanges to follow, allowing single-platform trading of commodities, equities and currencies.

AML / KYC

NZ Regulator Eyes Governance, Culture

By Samuel Riding | 15/02/2017

Financial Markets Authority sets out seven priorities for the coming year.

Market Infrastructure

HK SFC Joins Blockchain Consortium

By Samuel Riding | 15/02/2017

Regulator to test blockchain-backed securities and futures transactions.

Securities / Derivatives

Korea to Investigate NBFC Shareholder Qualifications

By Samuel Riding | 15/02/2017

Investigation likely to cover owners of conglomerates including Samsung and Hyndai.

Securities / Derivatives

Pakistan Exchange Suspends Chief Regulatory Officer

By Samuel Riding | 15/02/2017

PSX has received 485 claims against defaulting brokerage MR Securities.

Securities / Derivatives

Thailand Introduces FX Dealer Certification

By Samuel Riding | 14/02/2017

Certification requires 5 years’ experience or passing a 3-part test.

Securities / Derivatives

Taiwan Enhances Securities Lending Framework

By Samuel Riding | 13/02/2017

New rules aim to improve borrowing and lending operations in the equity market.

Securities / Derivatives

Korea Confirms Tougher Short Selling Rules

By Samuel Riding | 13/02/2017

New rules aim to prevent information imbalance, enhance market transparency and effectiveness of penalties.

Securities / Derivatives

Bank of England Fines Japanese Bank $33.34Mn

By Samuel Riding | 13/02/2017

Bank failed to report US regulator’s enforcement action against them to the Bank of England.