Market Infrastructure

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.