Securities / Derivatives

Securities / Derivatives

ASIC – No Plans for Research Unbundling

By Editors | 06/07/2017

Regulator issues consultation on conflicts of interest, non-public information in sell-side research.

Securities / Derivatives

HKMA to Help Support Banks’ Business – KPMG

By Editors | 04/07/2017

Report suggests financial stability issues are becoming less pressing, HKMA will encourage growth.

Securities / Derivatives

GFC Era Shadow Banking No Longer a Threat – FSB

By Editors | 04/07/2017

But report warns of new threats, not least liquidity risk from open-ended funds.

Enforcement

HK SFC, CSRC to Boost Stock Connect Supervision

By Editors | 03/07/2017

Regulators conducted 60 joint investigations in 1H16, taking total to 365 since Shanghai-HK link established in 2014.

Securities / Derivatives

IOSCO – Sri Lanka Regulator Urgently Needs Independence

By Editors | 03/07/2017

Report also finds outdated legislative, regulatory framework; says several sectors ‘largely unregulated’.

Securities / Derivatives

CPMI-IOSCO Open CCP Stress Testing Consultation

By Editors | 27/06/2017

Paper follows research on financial stability risks, FSB consultation on CCP resolution.

Market Infrastructure

HKEX’s New Board a High-stakes, Regulatory Gamble

By Peter Guy | 26/06/2017

Defying critics, proposed board includes platforms for dual class shares and tech start-ups.

Securities / Derivatives

Korea Introduces Derivatives, Bond Omnibus Accounts

By Editors | 26/06/2017

Move allows foreign investors to conduct multiple transactions through a single account with a global firm.

Securities / Derivatives

HKFE, SFC Fire off Conduct Warnings to Brokers

By Editors | 23/06/2017

A range of compliance and control issue failures uncovered at securities brokers in Hong Kong has prompted the SFC (Securities […]