United States

Structural Regulation

PSE Faces Queries on PDS Deal

By Samuel Riding | 07/12/2015

Philippine Stock Exchange working to answer regulator’s questions on takeover of fixed income bourse operator.

Market Abuse

Ensuring Fast, Fair Trading in Asia

By Samuel Riding | 03/12/2015

Reflecting on the Asian impact of rising fears, and prosecutions, of spoofing by high-frequency traders.

Capital Adequacy

Pakistan Widens Access to Non-bank Financing

By Samuel Riding | 02/12/2015

Regulator introduces new category of NBFC requiring only USD473,709 in equity.

Resolution & Recovery

Reacting to Asian ‘Risk Tilt’

By Samuel Riding | 26/11/2015

Asia’s rising economic influence and growth in the amount of risk being booked directly into the region are posing new questions for financial regulators and those they regulate.

Structural Regulation

Merger of Philippine Exchanges Delayed

By Samuel Riding | 13/11/2015

Monopoly law a stumbling block in proposed merger of the country’s equity and fixed income exchanges.

Capital Adequacy

Thailand Issues Consultation on Net Capital Rules

By Samuel Riding | 13/11/2015

SEC seeks comments on amendments to rules for calculating and reporting net liquid capital.

Market Abuse

Spoofing Conviction Creates Uncertainty

By Peter Guy | 09/11/2015

Last week’s successful US conviction creates more ambiguity in electronic trading and global markets.

Trading & Investment

Pakistan Issues Draft Short Sale Rules

By Samuel Riding | 09/11/2015

Securities and Exchange Commission proposes short sale limit at 40 percent of a security’s average daily turnover.

Trading & Investment

Thailand’s SEC Consults on Mutual Fund Investment Rules

By Samuel Riding | 06/11/2015

Regular proposing to loosen rules on investment policy of funds sold to institutional and HNW investors