SECURITIES / DERIVATIVES

Capital / Liquidity

Sri Lanka Introduces Risk-based CAR for Brokers

By Samuel Riding | 24/11/2016

Regulator and exchange will prompt brokers before CAR reaches minimum threshold.

Securities / Derivatives

CRS in APAC – Are Organisations Ready?

By Editors | 24/11/2016

APAC survey benchmarks ‘state of readiness’ and emerging implementation trends.

Market Infrastructure

S.Korea FSC Hands Derivative Product Decisions to Exchange

By Samuel Riding | 23/11/2016

Regulator to introduce stress tests at securities firms; aims to enhance global competitiveness.

Securities / Derivatives

ASIC Pursues Civil Claim for Market Integrity Breaches

By Samuel Riding | 23/11/2016

Regulator has issued 51 infringement notices since 2010; case relates to only one not complied with.

Market Infrastructure

IOSCO Appoints Quintet of APAC Regulators to Top Roles

By Samuel Riding | 23/11/2016

SEBI officials appointed as committee chairs; Australia, HK and Malaysia regulators as vice chairs.

AML / KYC

Malaysia SC Makes Key Appointments

By Samuel Riding | 22/11/2016

Regulator appoints Gumuri Hussain as executive chairman of Audit Oversight Board; Foo Lee Mei as chief regulatory officer.

Market Infrastructure

CSRC ‘Punishes’ Investor for Illegal Stock Connect Trading

By Samuel Riding | 21/11/2016

Regulator has recently warned of market manipulation; Shenzhen-HK link due to launch this month

AML / KYC

FSB Sets Out 2017 Agenda

By Samuel Riding | 18/11/2016

Upcoming reports and consultations cover correspondent banking, conduct and derivatives regulation.

Securities / Derivatives

SEBI Revises Insider Trading Rules

By Samuel Riding | 18/11/2016

Consolidated regulation aims to avoid conflicts of interest, abuse of power.