ADVERTISEMENT
AML / KYC
Guotai Junan Fined for Breaching Client ID Rule
By Samuel Riding | 31/05/2016
SFC says securities firm took more than six months to comply with two-day disclosure rule.
Market Infrastructure
Shanghai Ends Real Estate Lending Ban
By Samuel Riding | 31/05/2016
Shanghai office of CBRC had banned banks from doing business with six property firms.
Market Infrastructure
SEBI to Further Unify Commodity, Stock Exchange Rules
By Samuel Riding | 30/05/2016
Regulator has set up risk management committee to study contract discrepancies.
Market Infrastructure
SSE, SZSE Tighten Stock Suspension Guidelines
By Samuel Riding | 30/05/2016
Shanghai exchange says suspensions during 2015 market volatility prevented trading continuity.
Market Infrastructure
Thailand Proposes Reporting Exemptions
By Samuel Riding | 30/05/2016
Foreign-regulated issuers of securities, tender offers used in takeovers will not be subject to SEC rules.
Market Infrastructure
Credit Rating Agencies Face India Scrutiny
By Samuel Riding | 30/05/2016
Securities regulator could ask for periodic review of ratings criteria.
Market Infrastructure
India to Slash Number of Listed Firms
By Editors | 27/05/2016
Approximately 1,200 companies suspended from trading for seven years will be asked to exit market.
Market Infrastructure
China to Open up Commodity Futures Market
By Samuel Riding | 27/05/2016
Foreign investors will be able to deal in crude oil, iron ore and rubber contracts
Market Infrastructure
SEBI to Increase Broker Monitoring, Issue HFT Regulations
By Samuel Riding | 27/05/2016
Regulator sets out priorities for 2016/17 including de-listing of 4,200 firms.
Market Infrastructure
CME Granted Singapore Clearing House Status
By Samuel Riding | 26/05/2016
Status allows CME Clearing to sign up direct members to exchange-traded and OTC contracts.
JOIN OUR NEWSLETTER
A daily selection of top stories from the Regulation Asia editorial team