Securities / Derivatives

    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.

    Fintech / Regtech

    Japan SESC Reveals Rise in Market Misconduct

    By Samuel Riding | 30/08/2017

    Misconduct cases up 66%; regulator cites blockchain and cloud computing as hindrance to monitoring efforts, eyes regtech solutions.

    Enforcement

    CSRC to Push ‘Central Surveillance System’ for Exchanges

    By Samuel Riding | 29/08/2017

    Chairman Liu Shiyu cites ‘huge room for improvement’ in exchanges’ front-line supervision, citing failures exposed by 2015 stock market turmoil.

    AML / KYC

    HK SFC, Police Join Forces to Combat Financial Crime

    By Samuel Riding | 29/08/2017

    Agreement aims to clamp down on financial crime via securities markets; SFC has identified ‘multiple weaknesses’ in broker AML/CTF.

    Enforcement

    Korea Toughens Short-selling Rules

    By Samuel Riding | 28/08/2017

    Measures are expected to sharply increase incidences of excessive short selling; new categories of offence come with heavier maximum penalty.

    Fintech / Regtech

    HKMA Launches New Round of Trade Repository Testing

    By Editors | 28/08/2017

    Two-stage testing of Phase 2 reporting to depository covers interest rate, foreign exchange, equity, credit and commodity derivatives.

    Market Infrastructure

    Cybercrime Threatening Market Integrity – ASIC

    By Samuel Riding | 23/08/2017

    Australian regulator says market integrity will be a top priority over the next six months amid a surge in related misconduct issues.

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