Securities / Derivatives

Securities / Derivatives

Vietnam Regulator Cleans Up Markets in Advance of Derivatives Regime

By Editors | 26/07/2017

State Securities Commission shuttered 28 firms and withdrew brokerage business licenses from another 13 institutions in 1H17; derivatives launch set […]

Securities / Derivatives

Japanese Brokers Face Scrutiny of Information Controls

By Editors | 24/07/2017

Securities Dealers Association aims to ensure brokerage managers who are also investment bankers don’t reveal inside information. The new chief […]

Securities / Derivatives

Tackling the MiFID 2 Data Deluge in APAC

By Samuel Riding | 20/07/2017

Asia’s diverse information governance rules and sometimes insular institutions exacerbate MiFID 2 data challenge.

Market Infrastructure

Emerging Asian Markets Suffer Shutdowns, Cyberattacks

By Editors | 17/07/2017

Exchanges in India and Indonesia suffer outages, citing ‘technical issues’; brokers connected to Bursa Malaysia report spate of cyberattacks on two separate days.

Big Picture

Talking Trading Surveillance with Nasdaq’s Ulf Carlsson

By Samuel Riding | 13/07/2017

Regulation Asia discusses the latest trends in regulatory scrutiny of capital markets with Ulf Carlsson, general manager at Nasdaq in Hong Kong.

AML / KYC

AUSTRAC Warns on Fraud, Money Laundering via Stock, Derivatives Markets

By Editors | 13/07/2017

Fraud, money laundering more prevalent than even insider trading or market manipulation, Centre suggests; only 40% of market participants filed suspicious matter reports over 2-year period.

Enforcement

China Regulators Target ‘Rat’ Traders

By Editors | 10/07/2017

Ministry of Public Security says it has uncovered 80 cases of the form of insider trading since 2014. CSRC to use big data as it continues crackdown.

AML / KYC

US Regulators Flex Muscles in Asia

By Editors | 06/07/2017

Grip could be set to get even tighter if DOJ proposals on accessing documents, expanding AML predicates are implemented.