Securities / Derivatives

Market Infrastructure

Vietnam to Increase Scrutiny of Electronic Trading for Security Loopholes

By Editors | 04/10/2017

Brokerages will be required to report more data, ensure their systems are transparent, fair, secure and compliant with national laws.

Fintech / Regtech

CPMI, IOSCO Call for Uniformity in UPI Creation, Reporting

By Editors | 02/10/2017

Report proposes that each UPI maps to reference data which indirectly describes an OTCD product without identifying transaction details.

Market Infrastructure

Equivalence not Regulatory Harmonisation the Answer for Asian FX

By Editors | 28/09/2017

GFMA, KPMG report suggests the number of liquidity providers will decline; market participants can’t expect harmonised regulatory environment.

Enforcement

HK Regulator Seals 1st Conviction of Unlicensed Offshore Brokerage

By Editors | 25/09/2017

ETrade HK advertised its services for four years without a license; SFC says successful prosecution a 1st for the offence.

Crypto / Digital Assets

DLT Essential for Capital Market Participants to Meet Regulatory Obligations – JPX

By Samuel Riding | 21/09/2017

Market participants can’t meet diverse regulatory requirements without using DLT to share back office and post-trade functions, report suggests.

Securities / Derivatives

Dual Share Victory Doesn’t Guarantee HKEX the Last Laugh

By Peter Guy | 19/09/2017

The power struggle between HKEX and the SFC is over. The ultimate outcome is still uncertain.

Securities / Derivatives

HK SFC Inquiries Reveal Fund Managers’ Best Execution Failings

By Samuel Riding | 18/09/2017

Investigations of about 250 firms including subsidiaries of US and EU players also find weaknesses in avoiding conflicts of interest and liquidity management.

Securities / Derivatives

India to Boost Securities Lending to Support Derivatives Market Development

By Editors | 18/09/2017

SEBI consults on lending and borrowing in cash derivatives segment, asks whether physical settlement should be made compulsory.

Enforcement

Shanghai Futures Exchange Flags Abnormal Market Behaviours

By Editors | 18/09/2017

More than half of abnormal transactions which require disciplinary action by futures exchange involve the frequent placing and cancellation of orders.