Conduct, Culture & Accountability

Japan to Clamp Down on Excessive Sales Quotas

21/10/2016

Move aims to avoid unreasonable sales targets and abuses similar to those at Wells Fargo.

Supervision & Enforcement

ASIC Details Enforcement Drive

21/10/2016

Regulator reveals members and terms of reference for Enforcement Review Task Force

Structural Regulation

HK SFC Reprimands, Fines 2 JP Morgan Operations

21/10/2016

Entities breached disclosure rules, offered index options without due licence, had inadequate system controls.

Market Abuse

HK Tribunal Tells Short Seller to Repay $200,000

20/10/2016

Citron’s Andrew Left also banned from trading in Hong Kong for five years, vows appeal.

Structural Regulation

Luxembourg to Help Develop Vietnam Stock Market Law

20/10/2016

Agreement aims to support Vietnam securities market, enhance management, protect investors.

Market Abuse

Shanghai Futures Exchange Adopts Nasdaq Surveillance Platform

20/10/2016

New platform will monitor Exchange’s more than 200 members, 700 distant trading terminals.

Conduct, Culture & Accountability

HK’s SFC Reprimands, Fines Forex Service $500,000

20/10/2016

SFC concludes HK FXCM did not treat clients fairly or have proper controls, policies.

Trading & Investment

Japan to Tighten HFT Regulations

20/10/2016

New rules to cover trader registration and risk-management requirements.

Supervision & Enforcement

Taiwan Selects New FSC Chief

20/10/2016

New chief is Bank of Kaohsiung chairman; former FSC chair quit amid Mega Bank scandal.