SECURITIES / DERIVATIVES

Securities / Derivatives

Thailand Introduces FX Dealer Certification

By Samuel Riding | 14/02/2017

Certification requires 5 years’ experience or passing a 3-part test.

Securities / Derivatives

Taiwan Enhances Securities Lending Framework

By Samuel Riding | 13/02/2017

New rules aim to improve borrowing and lending operations in the equity market.

Securities / Derivatives

Korea Confirms Tougher Short Selling Rules

By Samuel Riding | 13/02/2017

New rules aim to prevent information imbalance, enhance market transparency and effectiveness of penalties.

Securities / Derivatives

Bank of England Fines Japanese Bank $33.34Mn

By Samuel Riding | 13/02/2017

Bank failed to report US regulator’s enforcement action against them to the Bank of England.

Market Infrastructure

SEBI Eyes Commodity Market Reform

By Samuel Riding | 13/02/2017

Regulator to consider institutional investor participation; integrate spot, derivatives markets.

AML / KYC

New SEBI Chief Appointed

By Samuel Riding | 13/02/2017

Senior finance ministry official Ajay Tyagi to replace UK Sinha on 1 March.

Securities / Derivatives

Indonesia Exchange Seeks to Ward off ‘Marking the Close’

By Samuel Riding | 13/02/2017

IDX could follow Malaysia, Singapore, HK exchanges in opening up pre-closing trade to scrutiny.

Market Infrastructure

HK SFC Reprimands, Fines Forex Firm

By Samuel Riding | 10/02/2017

Firm’s neglect of regulatory standards affected prices in about 240 transactions.

Securities / Derivatives

CSRC to Inspect Brokers’ Investment Banking

By Samuel Riding | 10/02/2017

Inspection covers asset securitisation, corporate bond underwriting and M&A.