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Enforcement
CFTC Fines Morgan Stanley Over Inaccurate Swaps Reporting
By Editors | 06/10/2020
Morgan Stanley’s cooperation with the CFTC investigation was rewarded with a reduced civil monetary penalty of $5mn.
Market Infrastructure
JPX Forms Committee to Investigate TSE System Failure
By Editors | 06/10/2020
The TSE said a failure occurred in a memory module of an Arrowhead shared disk device, where operations did not switch over to a secondary device due to a device setting.
Securities / Derivatives
HKEX Set to Adopt Enhancements to Pre-opening Session
By Editors | 06/10/2020
The POS enhancements, finalised in December, involve the adoption of features from the closing auction session, with the aim of improving price discovery and trading liquidity.
Big Picture
ISDA Calls for Common Standards in Derivatives, SFT Markets
By Editors | 05/10/2020
The development of common standards and taxonomies will facilitate automation and interoperability across derivatives and SFT markets.
Enforcement
ASIC Bans Former Fixed Income Broker for Ten Years
By Editors | 05/10/2020
The ex-broker charged unpermitted spreads and traded at prices other than the agreed independent valuation on transactions entered on behalf of referred clients.
Securities / Derivatives
Osaka Exchange to Launch Petroleum Index Futures
By Editors | 05/10/2020
The new futures contract will be based on the CME Group Petroleum Index and launch by year-end, subject to regulatory approvals.
Market Infrastructure
ISDA Receives Positive Business Review Letter from DOJ
By Manesh Samtani | 05/10/2020
The letter brings ISDA a step closer to publishing a supplement and related protocol that will make IBOR fallbacks in derivatives a reality.
Fintech / Regtech
SSE, SZSE to Pilot Blockchain in Trading, Custody Systems
By Editors | 05/10/2020
The Shanghai and Shenzhen stock exchange have separately announced plans to test newly-developed blockchain systems in equity markets.
ESG / Sustainability
Singapore Continues to Grow as Asia Pacific Gateway: MAS
By Manesh Samtani | 04/10/2020
As of mid-September, 120 VCCs have registered in Singapore, on top of 15.7% year-on-year growth in total AUM recorded at the end of 2019.
Securities / Derivatives
SFC Issues Guidance on E-dissemination of Product Documents
By Editors | 03/10/2020
Investors currently receiving paper investment product documents need to be notified at least one month before e-dissemination arrangements take effect.
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