Operational Risk

CSRC Downgrades More than 50% of Brokerages

18/07/2016

Annual ratings reflect a company’s risk control and compliance management.

Clearing & Post-Trade

India Tightens Collateral Rules

18/07/2016

Stock exchange clearing members barred from using their own fixed deposit receipts as collateral.

Anti-Money Laundering

Indonesia Tax Amnesty Begins

18/07/2016

Government begins amnesty despite judicial review; expected to raise billions of dollars.

Supervision & Enforcement

China, Abu Dhabi to Cooperate on Financial Regulation

18/07/2016

MoU covers cross-border activities and enhanced regulatory collaboration.

Capital Adequacy

Finadium and Deriv Asia Announce Consulting and Research Partnership for Asian Clients

15/07/2016

Singapore-based derivatives and risk consultancy Deriv Asia and US based securities finance researcher and consultant Finadium have agreed to launch […]

Trading & Investment

LSE-SHSE Link Study Making ‘Good Progress’ – CSRC

15/07/2016

London exchange chief says Brexit vote has created uncertainty but has limited overall impact.

Clearing & Post-Trade

HK Issues OTC Clearing Revisions

15/07/2016

HKMA and SFC consultation conclusions add further proposed revisions.

Payments & Settlements

SGX Resumes Normal Service After 5-hour Outage

15/07/2016

Trading was halted for the day at noon on Thursday, 14 July.

Trading & Investment

ASIC Issues IPO Due Diligence Report

15/07/2016

Poor due diligence correlates with defective prospectus disclosures, study finds.