Securities / Derivatives

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.

Securities / Derivatives

Singapore Brings ICO’s Within Regulatory Ambit

By Garima Chitkara | 02/08/2017

Singapore regulator announces intention to regulate ICO’s that share characteristics of debt or equity securities.

Securities / Derivatives

Rolling in the Regulations for Robo-Advisers

By Kristi Swartz | 01/08/2017

A SFC consultation paper proposes guidelines for robo-advisers to provide accurate, easily comprehensible information to investors.

Securities / Derivatives

OTC Margining in Asia – Still Unfinished Business

By Matthieu Sachot | 31/07/2017

With the 1st September deadline looming, three key points – besides the risk of regulatory breach – are gaining the financial industry’s attention in Asia.

Securities / Derivatives

HK Auditing Brokers’ Protection of Client Assets

By Editors | 31/07/2017

Regulator cites weaknesses in internal account protection controls despite warnings; IOSCO report says HK due diligence to safeguard client rights […]

Securities / Derivatives

China Financial Futures Exchange Ups Enforcement

By Editors | 31/07/2017

Exchange says it addressed more than 600 ‘abnormal trades’ in 1H17 and referred nine cases to the securities regulator; keeping […]

AML / KYC

US ICO Ruling Opens ‘Can of Worms’ for Asia

By Samuel Riding | 27/07/2017

Securities and Exchange Commission’s decision to define ICOs as securities adds to uncertainty around regulatory treatment of the virtual economy. […]