Securities / Derivatives

AML / KYC

HK SFC Forms Specialist Teams for Key Risk Areas

By Samuel Riding | 10/11/2016

Temporary teams will cover IPO misconduct, misconduct on GEM; AML/KYC, and mis-selling.

Market Infrastructure

ASIC Backs Industry-funded Model

By Samuel Riding | 09/11/2016

Proposed model will allocate funding according to each sector supervised by securities regulator.

Securities / Derivatives

Information Leaks, Insider Info Declining – ASIC

By Samuel Riding | 07/11/2016

Report reminds firms to review sell-side, corporate advisory regulatory requirements.

AML / KYC

S.Korea, Oman Boost Regulatory Cooperation

By Samuel Riding | 07/11/2016

Agreement will bolster both countries regulatory system and financial markets.

Market Infrastructure

HK Launches Best Execution Review

By Samuel Riding | 07/11/2016

Securities regulator to conduct on-site inspections, benchmark vs other regulators.

Market Infrastructure

China Warns of Market Manipulation via Stock Connect

By Samuel Riding | 07/11/2016

CSRC holds joint training session with Hong Kong regulator, issues warning statement.

Market Infrastructure

JGB T+1 Project Enters Final Phase

By Samuel Riding | 03/11/2016

Bank of Japan says move due by 1Q2018 will help reduce settlement risks.

Securities / Derivatives

HKMA Revamps OTC Reporting Interface

By Samuel Riding | 01/11/2016

Changes include modified data fields, description, and enumerated values for mandatory reporting.

Market Infrastructure

Pakistan Finalises Exchange Rules

By Samuel Riding | 31/10/2016

New framework aims to ensure transparency, boost investor confidence.