Securities / Derivatives

Market Infrastructure

Chinese Affiliate of Dutch HFT Firm in CSRC Probe

By Samuel Riding | 26/08/2016

IMC says it is cooperating with regulator on inquiry into Shanghai-based operation.

Securities / Derivatives

Japan Eyes Margin Trading Liberalisation

By Samuel Riding | 26/08/2016

FSA could end ‘off-exchange’ ban, allow trading at night and on public holidays.

Securities / Derivatives

Five India Brokers Sued for Mis-selling

By Samuel Riding | 26/08/2016

Civil cases follow Enforcement Directorate, SEBI investigations into alleged $836mn scam.

Market Infrastructure

SFC Reprimands Morgan Stanley, Issues USD2.4mn Fine

By Samuel Riding | 25/08/2016

US bank’s Hong Kong securities operation says to review internal controls to ensure compliance.

AML / KYC

SEBI Eases Trading Restriction on Hundreds of Firms

By Samuel Riding | 24/08/2016

Several companies which had been barred from the securities market can now conduct transactions.

Securities / Derivatives

SGX to Add Market Cap Test to MTP Criteria

By Samuel Riding | 24/08/2016

Low value shares with higher market capitalisation show better liquidity and lower volatility, exchange says.

Market Infrastructure

SEBI Loosens Commodity Hedging Limits

By Samuel Riding | 23/08/2016

Norms for client code modifications also liberalised.

Capital / Liquidity

Margining Big Bang Starts With a Whimper

By Samuel Riding | 22/08/2016

EU, Australia, Japan and HK deferments could be followed by US and Japan; call variation margining plans into question.

Market Infrastructure

APRA Defers Non-centrally Cleared Derivatives Standard

By Samuel Riding | 22/08/2016

Letter to regulated entities says CPS 226 implementation deferred due to international delays.