SECURITIES / DERIVATIVES

Securities / Derivatives

SFC Revokes Securities Firm License for ‘Egregious Conduct’

By Samuel Riding | 16/12/2016

Officers banned from the industry for using client money for personal use.

Market Infrastructure

Deloitte’s NSE Audit Finds ‘Technical Lapses’

By Samuel Riding | 16/12/2016

No individual involvement or human fault involved, report will say.

Market Infrastructure

MAS Proposes Short-selling Disclosure Rules

By Samuel Riding | 16/12/2016

Some trades to be reported to exchange, others to the regulator itself.

Securities / Derivatives

Indonesia Exchange Re-expands Price Swing Limits

By Samuel Riding | 16/12/2016

Stocks can now rise or fall 20% in a session; previous downside limit was 10%.

AML / KYC

APAC Regulators Set to Up Cyber-scrutiny

By Samuel Riding | 14/12/2016

FIs should also brace for more monitoring, enforcement, according to Deloitte, Simmons and Simmons.

Market Infrastructure

China Exchanges Issue Bond Repo Risk Guidelines

By Samuel Riding | 14/12/2016

Measures aim to strengthen risk management and ensure long-term bond market growth.

Securities / Derivatives

Thailand Introduces Stiff Penalties for Market Malpractice

By Samuel Riding | 14/12/2016

Offenders could face substantial financial penalties and 10-year bans.

Securities / Derivatives

Hong Kong SFC Cites Algo Trading Risk Mitigation Weaknesses

By Samuel Riding | 13/12/2016

Findings include insufficient management and control personnel involvement in governance.

AML / KYC

Central Issues in APAC Buy-side KYC and AML

By Fullerton Fund Management | 12/12/2016

Deep-rooted regulatory issues can be solved through innovation and cooperation.