SECURITIES / DERIVATIVES

    AML / KYC

    SFC Clarifies Broker Requirements

    By Samuel Riding | 03/10/2016

    Clarification follows unusual step of public warning on internal AML controls.

    Market Infrastructure

    HKMA Issues Guidelines on Penalties for OTC Rule Breaches

    By Samuel Riding | 03/10/2016

    Authority says it will not automatically link fines with profit gained, loss avoided from breaches.

    Market Infrastructure

    SGX Launches Trade Surveillance Tools

    By Samuel Riding | 29/09/2016

    Exchange issues Trade Surveillance Handbook covering spoofing, layering and marking the close.

    Market Infrastructure

    SEBI Details Commodity Exchange Investor Protection Rules

    By Samuel Riding | 28/09/2016

    All penalties levied by exchanges will enter investor protection fund.

    Securities / Derivatives

    CRS: More than Just a Global FATCA

    By Editors | 27/09/2016

    Whitepaper explores the complex requirements of looming reporting standard.

    Market Infrastructure

    RBI Urges Formation of Spot Exchange Regulator

    By Samuel Riding | 27/09/2016

    SEBI does not regulate spot exchanges despite merger with Forward Markets Commission.

    Securities / Derivatives

    SFC Proposes Higher Position Limits

    By Samuel Riding | 21/09/2016

    Cap on excess position limit could be increased 6-fold; 3-tier statutory position limit proposed.

    Market Infrastructure

    ASIC Investigates ASX Outage

    By Samuel Riding | 20/09/2016

    ASX says disruption was due to hardware failure and not a cyber-attack.

    Market Infrastructure

    Vietnam to Launch Derivatives Market in 1Q17

    By Samuel Riding | 19/09/2016

    SSC, HNX and VSD will develop regulations on prices, fees and tax.

    AML / KYC

    Taiwan Investigating Ex-regulators in Mega Bank Case

    By Samuel Riding | 19/09/2016

    Parliamentary task force is looking at possible money laundering and insider trading.

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