SECURITIES / DERIVATIVES

Market Infrastructure

Australian Regulators Issue Equity Settlement Consultation

By Samuel Riding | 10/03/2017

Paper seeks comment on potential risks from 3 possible models for competition.

Market Infrastructure

MAS Completes Blockchain Settlement Project

By Samuel Riding | 10/03/2017

SGX to trial distributed ledger in fixed income trading, settlement.

Securities / Derivatives

Pakistan Escalates Insider Trading Crackdown

By Samuel Riding | 10/03/2017

24 brokers issued ‘show cause’ notices, another 26 in the firing line.

Market Infrastructure

SEBI Allows All-digital Fee Payments

By Samuel Riding | 09/03/2017

Indian securities regulator also amends charges on derivatives transactions.

Market Infrastructure

ASIC Issues 2H16 Enforcement Report

By Samuel Riding | 08/03/2017

Regulator cites tackling ‘ailing confidence in market based system’ as a priority.

AML / KYC

HK SFC Fines Securities Firm for AML Breaches

By Samuel Riding | 07/03/2017

Firm breached 3 regulations including SFC Code of Conduct.

AML / KYC

Incoming CBRC Chief Eyes ‘Common Regulatory Approach’

By Samuel Riding | 06/03/2017

Guo Shuqing acknowledges confusion created by variety of different laws and regulations.

Securities / Derivatives

US SEC Freezes Singapore Broker-Dealer Accounts

By Samuel Riding | 03/03/2017

US regulator alleges unknown traders gained $1.7mn from inside information, Straits Times reports.

Securities / Derivatives

Taiwan to Introduce Forex ETFs

By Samuel Riding | 03/03/2017

Securities firm to launch inverse and leveraged products this month.