Posts By Editors, Regulation Asia
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1.3KEnforcementCFTC Imposes Fine on Mizuho Bank in Spoofing Case
Editors, Regulation Asia September 25, 2018A 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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408Asia-PacificFormer Indonesian Bank Bailout Chief Jailed in Corruption Case
Editors, Regulation Asia September 25, 2018The 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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475FeatureSGX Proposes New “Trade at Close” Session for Securities Market
Editors, Regulation Asia September 24, 2018New 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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485FeatureIndia’s NSE Signs MoU with London Stock Exchange
Editors, Regulation Asia September 24, 2018The agreement seeks to create a dual listing mechanism for masala and foreign-currency bonds issued by Indian companies.
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653ChinaSingapore, China Achieve ‘New Milestones in Financial Cooperation’
Editors, Regulation Asia September 21, 2018Collaboration to focus on strengthening supervision, enhancing connectivity, cooperating on fintech and supporting the Belt and Road initiative.
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632EnforcementOSE, TSE Discipline MUFG Brokerage Unit for JGB Futures Manipulation
Editors, Regulation Asia September 21, 2018Latest 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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528KoreaKRX Obtains SEC Class Relief on Index, Stock Options
Editors, Regulation Asia September 21, 2018Korea Exchange members can now directly market options on local indexes and 31 individual stocks to US institutional investors.
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427Asia-PacificMalaysia Expands Retail Access to Fixed Income Market
Editors, Regulation Asia September 20, 2018Securities Commission has liberalised its framework for retail investment in bond and sukuk products, effective from 11 October.
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400InternationalIOSCO Publishes Guidance Addressing Equity Raising Conflicts of Interest
Editors, Regulation Asia September 19, 2018The 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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476EnforcementSFC Fines Huatai Financial for Naked Short Selling
Editors, Regulation Asia September 19, 2018Huatai Financial's unintentional short sale of Great Wall Motor bonus shares in 2015 was as a result of inadequate systems and internal controls.
