SECURITIES / DERIVATIVES

AML / KYC

Philippines Finalises USD Securities Rules

By Samuel Riding | 15/11/2016

Regulator says move aims to increase capital without incurring forex risks.

Market Infrastructure

HK SFC Warns on Stock Connect Risk

By Samuel Riding | 14/11/2016

Regulator calls for system enhancement due to expected increase in trading volume.

Market Infrastructure

HKEX Delays Derivatives VCM

By Samuel Riding | 14/11/2016

Regulator cites potential technical issue uncovered during final preparations.

AML / KYC

HK SFC Forms Specialist Teams for Key Risk Areas

By Samuel Riding | 10/11/2016

Temporary teams will cover IPO misconduct, misconduct on GEM; AML/KYC, and mis-selling.

Market Infrastructure

ASIC Backs Industry-funded Model

By Samuel Riding | 09/11/2016

Proposed model will allocate funding according to each sector supervised by securities regulator.

Securities / Derivatives

Information Leaks, Insider Info Declining – ASIC

By Samuel Riding | 07/11/2016

Report reminds firms to review sell-side, corporate advisory regulatory requirements.

AML / KYC

S.Korea, Oman Boost Regulatory Cooperation

By Samuel Riding | 07/11/2016

Agreement will bolster both countries regulatory system and financial markets.

Market Infrastructure

HK Launches Best Execution Review

By Samuel Riding | 07/11/2016

Securities regulator to conduct on-site inspections, benchmark vs other regulators.

Market Infrastructure

China Warns of Market Manipulation via Stock Connect

By Samuel Riding | 07/11/2016

CSRC holds joint training session with Hong Kong regulator, issues warning statement.