SECURITIES / DERIVATIVES

Securities / Derivatives

AML & Open Data: The End of Privacy?

By Editors | 08/12/2016

Why regulation alone will not address risks arising from technological advances.

Market Infrastructure

Thailand ‘Sandbox’ to Allow 3 Fintech Services

By Samuel Riding | 08/12/2016

Regulator to allow work on private funds, investment advice, clearing and settlement.

Securities / Derivatives

PSE Kicks off USD Securities Regime

By Samuel Riding | 08/12/2016

Exchange to hold training sessions for traders and back office staff; expects REIT regulation soon.

Securities / Derivatives

Japanese Regulator Recommends Morgan Stanley Fine

By Samuel Riding | 07/12/2016

SESC suggests unit be fined $1.9mn for market manipulation including placing orders without intent to trade.

AML / KYC

Philippine Central Bank Pushes Reform of 23-Year-Old Charter

By Samuel Riding | 07/12/2016

Reform would see BSP receive more financial support to enhance regulatory and supervisory powers.

Securities / Derivatives

APRA, HKMA Confirm Variation Margining Implementation

By Samuel Riding | 07/12/2016

Implementation on margining and risk mitigation requirements to begin as set out under Basel III in both jurisdictions.

Market Infrastructure

MAS Amends OTC Margining Proposals

By Samuel Riding | 06/12/2016

Regulator adjusts margin settlement timeframe, asset requirements in response to feedback.

AML / KYC

FSB RCG Asia Details Workplan, Policy Priorities

By Samuel Riding | 06/12/2016

Group met to discuss macroprudential frameworks, fintech, and correspondent banking.

Market Infrastructure

Shenzhen-HK Stock Connect Opens

By Samuel Riding | 05/12/2016

Accompanying rules aim to curb cross-border illegal activity, market misconduct.