Securities / Derivatives

    Securities / Derivatives

    ISDA Urges EU Not to Force Local Clearing Post Brexit

    By Editors | 23/08/2017

    Trade organisation says move to local CCPs could push up initial margin costs by 20% or more; cites Australian equivalency model.

    Enforcement

    Indian Brokers’ AML Compliance Under Heightened Scrutiny

    By Editors | 20/08/2017

    SEBI warned nearly 500 entities on possible money laundering over the last financial year; conducted 245 investigations into illegal stock market activity.

    Securities / Derivatives

    Taiwan Allows Robo-advisory for Mutual Funds

    By Garima Chitkara | 14/08/2017

    Investment advisors can use robo-advisory technology to execute transactions and rebalance portfolios for clients as long as preset investment scale and return standards are maintained.

    Market Infrastructure

    Japanese Brokerages Testing AI Systems to Detect Market Manipulation

    By Garima Chitkara | 14/08/2017

    SBI and Rakuten expect artificial intelligence software to be operational for detecting market manipulation within this year.

    Securities / Derivatives

    Malaysia Comes Out Against MYR Trading on SGX and ICE

    By Garima Chitkara | 10/08/2017

    Recent introduction of MYR futures in offshore exchanges a contravention to its foreign exchange management policy and rules.

    Securities / Derivatives

    APRA CPS 226 to Include Framework for Substituted Compliance

    By Garima Chitkara | 10/08/2017

    Update allows for determining the status of a foreign counterparty and use its status under the margin requirements of the relevant foreign jurisdiction.

    Fintech / Regtech

    SEBI to Study Fintech Potential for Securities Markets

    By Garima Chitkara | 07/08/2017

    Committee will help the regulator evolve the regulatory framework in response to the development of new technology pertinent to the securities markets.

    Securities / Derivatives

    Japan Halves Setup Time for Foreign Fund Entry

    By Garima Chitkara | 07/08/2017

    UK asset management firm Legal & General Group became the first foreign firm to make use of Japan’s financial market entry consultation desk.

    Securities / Derivatives

    China Cracks Down on Investment Funds for IPO Rules Violation

    By Garima Chitkara | 07/08/2017

    China has blacklisted nine funds connected to HSBC for alleged “misbehaviour” in the financial markets, specifically pertaining to IPO’s.

    Securities / Derivatives

    SFC Flags Irregularities in Private Funds and Discretionary Accounts

    By Garima Chitkara | 03/08/2017

    Hong Kong securities regulator expresses concerns on the management of private funds and discretionary accounts.

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