Securities / Derivatives

Securities / Derivatives

China Financial Futures Exchange Ups Enforcement

By Editors | 31/07/2017

Exchange says it addressed more than 600 ‘abnormal trades’ in 1H17 and referred nine cases to the securities regulator; keeping […]

AML / KYC

US ICO Ruling Opens ‘Can of Worms’ for Asia

By Samuel Riding | 27/07/2017

Securities and Exchange Commission’s decision to define ICOs as securities adds to uncertainty around regulatory treatment of the virtual economy. […]

Capital / Liquidity

HK Fund Dealing Desks Win OTC Capital Requirements Reduction

By Editors | 27/07/2017

OTCD regime seen to need further tweaks following responses to 2015 consultation; fund manager dealing desks win capital requirements reduction. […]

Securities / Derivatives

Vietnam Regulator Cleans Up Markets in Advance of Derivatives Regime

By Editors | 26/07/2017

State Securities Commission shuttered 28 firms and withdrew brokerage business licenses from another 13 institutions in 1H17; derivatives launch set […]

Securities / Derivatives

Japanese Brokers Face Scrutiny of Information Controls

By Editors | 24/07/2017

Securities Dealers Association aims to ensure brokerage managers who are also investment bankers don’t reveal inside information. The new chief […]

Securities / Derivatives

Tackling the MiFID 2 Data Deluge in APAC

By Samuel Riding | 20/07/2017

Asia’s diverse information governance rules and sometimes insular institutions exacerbate MiFID 2 data challenge.

Market Infrastructure

Emerging Asian Markets Suffer Shutdowns, Cyberattacks

By Editors | 17/07/2017

Exchanges in India and Indonesia suffer outages, citing ‘technical issues’; brokers connected to Bursa Malaysia report spate of cyberattacks on two separate days.

Big Picture

Talking Trading Surveillance with Nasdaq’s Ulf Carlsson

By Samuel Riding | 13/07/2017

Regulation Asia discusses the latest trends in regulatory scrutiny of capital markets with Ulf Carlsson, general manager at Nasdaq in Hong Kong.

AML / KYC

AUSTRAC Warns on Fraud, Money Laundering via Stock, Derivatives Markets

By Editors | 13/07/2017

Fraud, money laundering more prevalent than even insider trading or market manipulation, Centre suggests; only 40% of market participants filed suspicious matter reports over 2-year period.