Securities / Derivatives

AML / KYC

Banks’ Exit from Emerging Markets Hurting AML, CTF Efforts – FSB

By Samuel Riding | 31/08/2016

Report to G20 says funds are being driven underground; cites failures to initiate derivative market reform in China and Korea.

Market Infrastructure

Update: Shenzhen-HK Stock Connect Now Set for November

By Samuel Riding | 31/08/2016

Shenzhen exchange sets early November deadline for securities companies to complete preparation.

Capital / Liquidity

BCBS Report Reveals Basel III Challenges

By Samuel Riding | 30/08/2016

Reports on Korea, Indonesia, Singapore, Japan, China and Australia due over next 12 months.

AML / KYC

India, Abu Dhabi Regulators Ink Cooperation Pact

By Samuel Riding | 26/08/2016

SEBI has already signed 22 MoUs with other regulators; sent 44 assistance request to other jurisdictions in 2015/16.

Market Infrastructure

Chinese Affiliate of Dutch HFT Firm in CSRC Probe

By Samuel Riding | 26/08/2016

IMC says it is cooperating with regulator on inquiry into Shanghai-based operation.

Securities / Derivatives

Japan Eyes Margin Trading Liberalisation

By Samuel Riding | 26/08/2016

FSA could end ‘off-exchange’ ban, allow trading at night and on public holidays.

Securities / Derivatives

Five India Brokers Sued for Mis-selling

By Samuel Riding | 26/08/2016

Civil cases follow Enforcement Directorate, SEBI investigations into alleged $836mn scam.

Market Infrastructure

SFC Reprimands Morgan Stanley, Issues USD2.4mn Fine

By Samuel Riding | 25/08/2016

US bank’s Hong Kong securities operation says to review internal controls to ensure compliance.

AML / KYC

SEBI Eases Trading Restriction on Hundreds of Firms

By Samuel Riding | 24/08/2016

Several companies which had been barred from the securities market can now conduct transactions.