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Fintech / Regtech
Singapore Brokers Directed to Enhance Trade Surveillance Systems
By Manesh Samtani | 08/08/2019
MAS and SGX RegCo have released a practice guide outlining five guiding principles for brokers to use in the review and design of their trade surveillance programmes.
Enforcement
SGX RegCo to Boost Regulatory Presence, Oversight
By Manesh Samtani | 08/08/2019
At a regulatory briefing on Wednesday, SGX RegCo CEO Tan Boon Gin laid out the work ahead to enhance investor confidence and deter wrongdoing.
Market Infrastructure
SGX-NSE GIFT City Trading Link Receives Regulatory Approval
By Editors | 07/08/2019
The so-called ‘NSE IFSC-SGX Connect’ is set to become operational by end-2020, ending a dispute between the two exchanges.
Securities / Derivatives
SEBI Proposal Stricter Rules for Portfolio Managers
By Editors | 06/08/2019
SEBI proposes a higher net worth requirement, a higher minimum investment, and standardised performance reporting for portfolio managers, among other changes.
Market Infrastructure
Morgan Stanley, JP Morgan Take Control of China JVs
By Editors | 06/08/2019
Morgan Stanley has become the latest foreign firm to control a securities JV in China, while JP Morgan becomes the first foreign firm to own a majority stake in an asset management JV.
AML / KYC
MAS Targets Market Abuse with Proposed New Requirements
By Editors | 06/08/2019
Capital market licensees will have to record all client communications and capture their mobile device IDs. Foreign intermediaries will have to provide UBO information on request.
Securities / Derivatives
SSE, SZSE Set to Allow Trading in HK-Listed Dual Class Shares
By Editors | 05/08/2019
The Shanghai and Shenzhen stock exchanges are consulting on rule changes that will allow Chinese investors to trade Hong Kong-listed dual-class shares via Stock Connect.
Market Infrastructure
HKIFA Announces New Roadmap Pushing ESG Agenda
By Manesh Samtani | 02/08/2019
The HKIFA is advocating for fund documents to only be delivered to investors digitally by default, increased use of cloud for record keeping, and greater alignment with international standards.
Fintech / Regtech
TSE Seeks ‘Data Sandbox’ Partners to Support Innovation
By Editors | 02/08/2019
The Tokyo Stock Exchange is looking to startups, data providers and so-called ‘innovation partners’ to help create new services for the securities sector.
Enforcement
Thailand SEC to Incorporate AI in Price Manipulation Probes
By Editors | 02/08/2019
Existing investigation and fact-finding procedures currently take 1.5 years before civil sanctions or penalties are imposed.
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