Securities / Derivatives

Enforcement

Shanghai Futures Exchange Flags Abnormal Market Behaviours

By Editors | 18/09/2017

More than half of abnormal transactions which require disciplinary action by futures exchange involve the frequent placing and cancellation of orders.

Market Infrastructure

SGX Regulatory Subsidiary Ready to Start Operations

By Editors | 12/09/2017

SGX RegCo will begin operations on Friday (12 September) with three new board members joining Tan Cheng Han and Tan Boon Gin at the helm.

Crypto / Digital Assets

A Question of Control – Central Banks Move Against Cryptocurrencies

By Peter Guy | 11/09/2017

Central and global banks reveal true intent for controlling bitcoin and other cryptocurrencies.

Enforcement

ASIC Eyes Accountability for Algorithmic System Operators

By Samuel Riding | 11/09/2017

Regulator’s chairman says each algorithmic system must have designated individual responsible for design and outcomes, echoing new bank accountability regime.

AML / KYC

Taiwan Tightens Securities, Futures Firms’ Internal Control Requirements

By Samuel Riding | 07/09/2017

New regulations will require firms involved in securities and futures markets to set up separate  AML/CTF units, boost FSC inspection powers.

AML / KYC

SEBI Bars 19 Firms for Depository Receipt Market Manipulation

By Editors | 07/09/2017

Regulator says violations could make investors ‘lose faith in the Indian securities market and even good companies will find it extremely difficult to raise capital’.

Crypto / Digital Assets

Hong Kong Joins Singapore, US in Labelling Some ICOs as Securities

By Samuel Riding | 06/09/2017

SFC says some ICOs are either share, debenture or collective investment schemes; some traders in secondary market could be regulated entities.

Securities / Derivatives

Japanese Banks Call for Narrower OTCD Reporting Requirements

By Samuel Riding | 04/09/2017

Japanese Bankers Association says data elements should be narrower; concerned about cost of reporting given different collateral settlement timings.

AML / KYC

China Joins Stampede to Regulate ICOs

By Samuel Riding | 31/08/2017

Regulators to introduce rules on ICOs/ITOs which raised nearly $400mn in 1st half of 2017; follows moves by the US and Singapore in July.