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Enforcement
HK Regulator Seals 1st Conviction of Unlicensed Offshore Brokerage
By Editors | 25/09/2017
ETrade HK advertised its services for four years without a license; SFC says successful prosecution a 1st for the offence.
Crypto / Digital Assets
DLT Essential for Capital Market Participants to Meet Regulatory Obligations – JPX
By Samuel Riding | 21/09/2017
Market participants can’t meet diverse regulatory requirements without using DLT to share back office and post-trade functions, report suggests.
Securities / Derivatives
Dual Share Victory Doesn’t Guarantee HKEX the Last Laugh
By Peter Guy | 19/09/2017
The power struggle between HKEX and the SFC is over. The ultimate outcome is still uncertain.
Securities / Derivatives
HK SFC Inquiries Reveal Fund Managers’ Best Execution Failings
By Samuel Riding | 18/09/2017
Investigations of about 250 firms including subsidiaries of US and EU players also find weaknesses in avoiding conflicts of interest and liquidity management.
Securities / Derivatives
India to Boost Securities Lending to Support Derivatives Market Development
By Editors | 18/09/2017
SEBI consults on lending and borrowing in cash derivatives segment, asks whether physical settlement should be made compulsory.
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.
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