Securities / Derivatives

Securities / Derivatives

HK SFC Planning Fund Liquidity Rules

By Editors | 17/06/2016

Regulators’ increasingly concerned about role of investment funds as source of systemic risk.

AML / KYC

No Super-Regulator Soon, China Think Tank Says

By Samuel Riding | 17/06/2016

Influential research center says reform should focus on ‘regulatory philosophy’ over next 2-3 years.

Market Infrastructure

Japan Probes Banks’ Currency Settlement Risk

By Samuel Riding | 16/06/2016

Financial Services Agency to check whether banks and brokers use automated services.

Market Infrastructure

BSE to Test Trading at Disaster Recovery Site

By Samuel Riding | 16/06/2016

BSE (Bombay Stock Exchange) will conduct a mock trading session from a disaster recovery site in Hyderabad to test the strength of its systems.

Market Infrastructure

AxiomSL, SAP Launch Regulatory Data Product

By Samuel Riding | 15/06/2016

Platform supports regulatory and risk reporting, data aggregation.

Market Infrastructure

ASIC Confirms ASX Meets Regulatory Obligations

By Samuel Riding | 15/06/2016

Conclusion based on surveillance assessments and engagement with HK, Singapore regulators.

Market Infrastructure

PBOC to Allow FI Bankruptcies

By Samuel Riding | 14/06/2016

Deputy governor says orderly market exits for financial institutions should be encouraged.

Market Infrastructure

FIX Develops MiFID Reporting Protocol

By Samuel Riding | 14/06/2016

Protocol covers transmission of MiFID II transaction reports to approved mechanisms.

AML / KYC

MAS Sets Up Dedicated AML Unit

By Samuel Riding | 14/06/2016

Singapore regulator will also create new enforcement unit, drawing in staff from different divisions.