Securities / Derivatives

Value Partners Receive RQFII Approval

12/09/2013

The China Securities Regulation Commission (CRSC) has approved Value Partners as a Renminbi Qualified Foreign Institutional Investor (RQFII). With this […]

Hedge Funds Not a Systemic Risk – ASIC

10/09/2013

Australian hedge funds do not currently pose a systemic risk to the Australian financial system, an ASIC report released today […]

Korean Regulator Reviews Foreign Brokerages’ Derivatives Sales

10/09/2013

South Korea’s regulatory watchdog the Financial Supervisory Service is reviewing derivatives sales at three foreign brokerages for compliance with the […]

HKMA & SFC Publish OTC Consulation Conclusions

09/09/2013

The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) jointly published today their conclusions on a […]

Korea Bank Holding Companies’ Capital Ratios Update

09/09/2013

The consolidated BIS capital ratio and Tier 1 capital ratio of bank holding companies at the end of June were […]

Thailand Based Trader Pays $5.2M SEC Settlement

06/09/2013

The Securities and Exchange Commission today announced that a Bangkok-based trader whose U.S. brokerage account was frozen in an SEC […]

Securities / Derivatives

Regional Regulators Bolster Cross-Border Cooperation in Market Surveillance

06/09/2013

Regulators from the Asia-Pacific region came together to bolster cross-border cooperation in market surveillance at the ‘Market Integrity Forum’ and […]

Assessment of ASX Clearing and Settlement Facilities

05/09/2013

The Reserve Bank of Australia has released its 2012/13 Assessment of ASX Clearing and Settlement Facilities against the Financial Stability […]

ESMA Advises Commission on Non-EU Derivatives Rules

03/09/2013

The European Securities and Market Authority (ESMA) has published its advice to the European Commission on the equivalence of the […]