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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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