Securities / Derivatives

AML / KYC

SFC Clarifies Broker Requirements

By Samuel Riding | 03/10/2016

Clarification follows unusual step of public warning on internal AML controls.

Market Infrastructure

HKMA Issues Guidelines on Penalties for OTC Rule Breaches

By Samuel Riding | 03/10/2016

Authority says it will not automatically link fines with profit gained, loss avoided from breaches.

Market Infrastructure

SGX Launches Trade Surveillance Tools

By Samuel Riding | 29/09/2016

Exchange issues Trade Surveillance Handbook covering spoofing, layering and marking the close.

Market Infrastructure

SEBI Details Commodity Exchange Investor Protection Rules

By Samuel Riding | 28/09/2016

All penalties levied by exchanges will enter investor protection fund.

Securities / Derivatives

CRS: More than Just a Global FATCA

By Editors | 27/09/2016

Whitepaper explores the complex requirements of looming reporting standard.

Market Infrastructure

RBI Urges Formation of Spot Exchange Regulator

By Samuel Riding | 27/09/2016

SEBI does not regulate spot exchanges despite merger with Forward Markets Commission.

Securities / Derivatives

SFC Proposes Higher Position Limits

By Samuel Riding | 21/09/2016

Cap on excess position limit could be increased 6-fold; 3-tier statutory position limit proposed.

Market Infrastructure

ASIC Investigates ASX Outage

By Samuel Riding | 20/09/2016

ASX says disruption was due to hardware failure and not a cyber-attack.

Market Infrastructure

Vietnam to Launch Derivatives Market in 1Q17

By Samuel Riding | 19/09/2016

SSC, HNX and VSD will develop regulations on prices, fees and tax.