Securities / Derivatives

IOSCO – Sri Lanka Regulator Urgently Needs Independence

03/07/2017

Report also finds outdated legislative, regulatory framework; says several sectors ‘largely unregulated’.

AML / KYC

Southeast Asia Roundup

29/06/2017

The Philippine government passed amendments to the country’s AML (anti-money laundering) law, bringing casinos under it’s rules for the first […]

AML / KYC

Australia Eyes Stronger Powers for ASIC

29/06/2017

The Australian Treasury issued a trio of proposals to enhance the enforcement powers of ASIC.

Enforcement

Enforcement – ‘Market Manipulation’ in Australia and China

28/06/2017

ASIC says Macquarie Securities failed to escalate suspicions; China-based HFT to pay $101mn.

Securities / Derivatives

CPMI-IOSCO Open CCP Stress Testing Consultation

27/06/2017

Paper follows research on financial stability risks, FSB consultation on CCP resolution.

India Sweetens the P-Note Pill for Foreign Investors

27/06/2017

Eased rules for fund managers, private banks to compensate for crackdown on offshore derivatives.

Market Infrastructure

HK SFC to Review Short-selling Rules

27/06/2017

Top financial services and treasury official says eyeing market activity, global regulatory developments.

Korea Proposes to Make Agencies Liable for ‘Defective Ratings’

26/06/2017

Korea’s FSC (financial Supervisory Commission) proposed to make rating agencies liable for damages if they produce “defective ratings” on listed […]

Securities / Derivatives

Korea Introduces Derivatives, Bond Omnibus Accounts

26/06/2017

Move allows foreign investors to conduct multiple transactions through a single account with a global firm.