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Enforcement
Korea FSS to Penalise Brokerage CEOs Over Lime Asset Mis-selling
By Editors | 07/10/2020
The proposed sanctions may include a ban on former and current CEOs of three brokerage firms from working in the financial industry for up to five years.
Fintech / Regtech
BOT Issues $1.6bn in Government Savings Bonds on Blockchain
By Editors | 07/10/2020
Leveraging IBM blockchain technology, Bank of Thailand’s platform reduces a process that previously took 15 days to two days.
Fintech / Regtech
ISDA, Digital Asset Launch CDM Clearing Pilot Using DAML
By Editors | 06/10/2020
Deploying the Common Domain Model for clearing using DAML will increase standardisation and operational efficiency across the entire clearing lifecycle.
Securities / Derivatives
Taiwan FSC Selects Nine Foreign Fund Managers to Receive Incentives
By Editors | 06/10/2020
AllianceBernstein, Allianz, Schroders, Invesco, JP Morgan, Fidelity, Nomura, NN Investment Partners and Franklin Templeton were selected.
Securities / Derivatives
HKFE Obtains CFTC Certification for More MSCI Contracts
By Editors | 06/10/2020
Two broad-based Taiwan equity index contracts have received CFTC certification, allowing them to be offered and sold to persons in the US.
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.
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