Securities / Derivatives

Securities / Derivatives

S.Korea to Introduce Mandatory Governance Disclosures

By Garima Chitkara | 26/03/2018

Large listed banks will be required to disclose corporate governance and internal controls starting 2019 based on norms to be released by FSC and KRX.

Market Infrastructure

India to Implement Early Warning System for Broker Defaults

By Garima Chitkara | 26/03/2018

SEBI consulting on draft measures on norms on early detection of potential default among stock brokers through an Intelligent and Specific Early Warning System.

Enforcement

SSE Re-stocks Disciplinary Arsenal

By Editors | 26/03/2018

New documents give Shanghai exchange greater powers over trading members and investors.

Enforcement

SFC Fines UBS Securities for Missing Client Consent Records

By Editors | 23/03/2018

The firm was only able to provide the regulator about half of the client consents for facilitation trades.

Enforcement

S.Korea Tax Authority Fines Brokers for ‘Borrowed Name’ Accounts

By Editors | 21/03/2018

Brokerages penalised for Samsung chief’s borrowed-name accounts will seek to recover money from the electronics giant.

Enforcement

Japan Introduces AI Market Surveillance

By Samuel Riding | 21/03/2018

System from Hitachi and NEC will identify potential unfair trading, but humans will still be relied on to interpret data.

Market Infrastructure

China to Allow Offshore Listed Firms to Issue Depository Receipts

By Editors | 20/03/2018

Move aimed at attracting back to the mainland China’s overseas-listed tech giants Alibaba, Tencent, Baidu.

Market Infrastructure

UPDATED – India Securities Regulator Mulls Changes to Algorithmic Trading Framework

By Garima Chitkara | 18/03/2018

SEBI is considering imposing a congestion charge for high volume trading to address concerns on unfair market access to India’s exchange trading systems.

Market Infrastructure

Malaysia Establishes Working Group to Digitise Brokerage Industry

By Garima Chitkara | 18/03/2018

The BRIDGe working group will work to enhance operational efficiencies and service standards, promote innovation and reduce brokerage costs.