Market Infrastructure

Market Infrastructure

HKMA Issues Guidelines on Penalties for OTC Rule Breaches

By Samuel Riding | 03/10/2016

Authority says it will not automatically link fines with profit gained, loss avoided from breaches.

Market Infrastructure

SGX Launches Trade Surveillance Tools

By Samuel Riding | 29/09/2016

Exchange issues Trade Surveillance Handbook covering spoofing, layering and marking the close.

Market Infrastructure

India Kicks off Commodity Options Regime

By Samuel Riding | 29/09/2016

Advisory committee recommends SEBI permit trading; regulator to issue guidelines ‘in due course’.

Market Infrastructure

HKEX Issues SZ-HK Stock Connect Rules

By Samuel Riding | 29/09/2016

Information book, SEHK rules and FAQs amended.

Capital / Liquidity

Vietnam Could Ban Foreigners from Depositing in VND

By Samuel Riding | 29/09/2016

Commentators regard central bank proposal as ‘regrettable backward step’.

AML / KYC

BCBS Confirms Leave from Basel to Support Financial Inclusion

By Samuel Riding | 28/09/2016

Committee confirms institutions can be compliant with its Core Principles without implementing Basel I, II or III.

Market Infrastructure

SEBI Details Commodity Exchange Investor Protection Rules

By Samuel Riding | 28/09/2016

All penalties levied by exchanges will enter investor protection fund.

Market Infrastructure

China to Clarify Foreign Fund Offering Rules

By Samuel Riding | 28/09/2016

CSRC to work with AMAC to address foreign asset managers’ concerns

Market Infrastructure

Taiwan Regulator to Tighten Monitoring after Cyber-Attacks

By Samuel Riding | 27/09/2016

Hacks on banking and securities operations of First Financial caused systems to shut down.