SECURITIES / DERIVATIVES

Market Infrastructure

India Confirms to Follow Basel OTC Norms

By Samuel Riding | 24/06/2016

RBI issues draft guidelines based on BCBS framework; implementation set for April 2017.

AML / KYC

Hong Kong Code of Conduct Breaches Surge

By Samuel Riding | 23/06/2016

SFC Annual Report also reveals sharp rise in AML breaches.

Securities / Derivatives

Asia’s Digital On-boarding Challenge

By Editors | 22/06/2016

Appway survey reveals how regulations, technology, and compliance are driving competition among wealth managers in Asia.

Securities / Derivatives

HKEx, KRX to Explore Derivatives Cross-listing

By Samuel Riding | 22/06/2016

Agreement would cover index futures and options, local currency derivatives.

Securities / Derivatives

HSBC Files USD35mn Rate Rigging Settlement

By Samuel Riding | 21/06/2016

Proposed payment relates to anti-trust case alleging manipulation of two yen benchmarks.

Market Infrastructure

Tax Rules Could ‘Collapse’ Pakistan Brokerage Industry

By Samuel Riding | 21/06/2016

Director of Pakistan Stock Exchange attacks recent tax changes, excessive regulation.

Securities / Derivatives

HK SFC Planning Fund Liquidity Rules

By Editors | 17/06/2016

Regulators’ increasingly concerned about role of investment funds as source of systemic risk.

AML / KYC

No Super-Regulator Soon, China Think Tank Says

By Samuel Riding | 17/06/2016

Influential research center says reform should focus on ‘regulatory philosophy’ over next 2-3 years.

Market Infrastructure

Japan Probes Banks’ Currency Settlement Risk

By Samuel Riding | 16/06/2016

Financial Services Agency to check whether banks and brokers use automated services.