Capital / Liquidity

Cambodia Launches Repo Plan

21/10/2016

Scheme will help financial institutions cover reserve requirements.

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.

AML / KYC

ASIC Details Enforcement Drive

21/10/2016

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

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.

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.

Luxembourg to Help Develop Vietnam Stock Market Law

20/10/2016

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

Market Infrastructure

Shanghai Futures Exchange Adopts Nasdaq Surveillance Platform

20/10/2016

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

Securities / Derivatives

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.

Market Infrastructure

Japan to Tighten HFT Regulations

20/10/2016

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