Posts By Editors, Regulation Asia
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120EnforcementCFTC Imposes Fine on Mizuho Bank in Spoofing Case
A trader placed multiple large orders on CME and CBOT futures contracts from Mizuho's Singapore office with no intention of executing them.
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72Asia-PacificFormer Indonesian Bank Bailout Chief Jailed in Corruption Case
The former head of an agency credited with leading Indonesia out of the 1998 financial crisis reportedly caused state losses of over $300mn.
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131FeatureSGX Proposes New “Trade at Close” Session for Securities Market
New five-minute trading session will allow participants to execute fixed-price orders at the closing auction price; consultation open until 11 October.
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141FeatureIndia’s NSE Signs MoU with London Stock Exchange
The agreement seeks to create a dual listing mechanism for masala and foreign-currency bonds issued by Indian companies.
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157ChinaSingapore, China Achieve ‘New Milestones in Financial Cooperation’
Collaboration to focus on strengthening supervision, enhancing connectivity, cooperating on fintech and supporting the Belt and Road initiative.
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108EnforcementOSE, TSE Discipline MUFG Brokerage Unit for JGB Futures Manipulation
Latest disciplinary action follows a FSA fine earlier this year, after a dealer manipulated the JGB futures market using the firm's proprietary trading account.
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88KoreaKRX Obtains SEC Class Relief on Index, Stock Options
Korea Exchange members can now directly market options on local indexes and 31 individual stocks to US institutional investors.
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95Asia-PacificMalaysia Expands Retail Access to Fixed Income Market
Securities Commission has liberalised its framework for retail investment in bond and sukuk products, effective from 11 October.
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104InternationalIOSCO Publishes Guidance Addressing Equity Raising Conflicts of Interest
The guidance comprises eight measures to address conflicts of interest and sets standards of conduct for market intermediaries in the equity capital raising process.
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115EnforcementSFC Fines Huatai Financial for Naked Short Selling
Huatai Financial's unintentional short sale of Great Wall Motor bonus shares in 2015 was as a result of inadequate systems and internal controls.
