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Securities / Derivatives
India Seeks to Ban 5 Brokers Over NSEL Scam
By Samuel Riding | 16/12/2016
Court order includes accusations that brokers are not ‘fit and proper’ to act in securities market.
Market Infrastructure
Deloitte’s NSE Audit Finds ‘Technical Lapses’
By Samuel Riding | 16/12/2016
No individual involvement or human fault involved, report will say.
Market Infrastructure
Indian Gov’t Says NSE Gave Preferential Access
By Samuel Riding | 12/12/2016
Finance minister Arjun Meghwal says loophole making system prone to manipulation closed on 3 December.
Big Picture
The Big Picture – Indian Regulatory Outlook
By Samuel Riding | 08/12/2016
Highlights from Regulation Asia’s 2016 India Roundtable with ICCL, Stockholding, EY and PIVOT.
Market Infrastructure
India Could Allow MF Investment via Digital Wallets
By Samuel Riding | 06/12/2016
Digitisation aims to encourage more investors and reduce scheme costs.
Market Infrastructure
India Revamps Co-Location Facility Rules
By Samuel Riding | 02/12/2016
New rules require one exchange to “allow connectivity” to co-location servers at another.
Market Infrastructure
India Working on Fund Passport Scheme
By Samuel Riding | 30/11/2016
Indian investors currently only allowed to participate in overseas funds via feeder structures.
Market Infrastructure
SEBI Issues GIFT City Guidelines
By Samuel Riding | 30/11/2016
Exchanges can choose to allow trading in a product for up to 23.5 hours/day.
Market Infrastructure
IOSCO Appoints Quintet of APAC Regulators to Top Roles
By Samuel Riding | 23/11/2016
SEBI officials appointed as committee chairs; Australia, HK and Malaysia regulators as vice chairs.
AML / KYC
India Uncovers $2.34bn of Illegal Broker Transactions
By Samuel Riding | 22/11/2016
Tax office says brokerage ‘never bothered to verify KYC norms’.
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