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Securities / Derivatives
SGX to Revamp Securities Trading, Market Practice Rules
By Editors | 11/10/2017
Proposed market practice rules would end requirement that senior managers pre-approve staff to trade so long as customer information is protected.
AML / KYC
Hong Kong-China to Share Stock Connect Broker, Trader Names
By Editors | 11/10/2017
SFC chief says move will enhance market transparency and surveillance, and improve efficiency in cracking down on malpractice.
Fintech / Regtech
Singapore Enters 2nd Phase of Blockchain-based Payments Trial
By Editors | 09/10/2017
Trial has already been completed on interbank transfers; blockchain programme will be extended to include securities sector as well as payments.
Market Infrastructure
Top CSRC Official Calls on Derivatives Industry to Develop OTC Options
By Samuel Riding | 04/10/2017
Vice chair Fang Xinghai says stock index futures market has been ‘substantially restored’ since outright ban in September 2015.
Market Infrastructure
Vietnam to Increase Scrutiny of Electronic Trading for Security Loopholes
By Editors | 04/10/2017
Brokerages will be required to report more data, ensure their systems are transparent, fair, secure and compliant with national laws.
Fintech / Regtech
CPMI, IOSCO Call for Uniformity in UPI Creation, Reporting
By Editors | 02/10/2017
Report proposes that each UPI maps to reference data which indirectly describes an OTCD product without identifying transaction details.
Market Infrastructure
Equivalence not Regulatory Harmonisation the Answer for Asian FX
By Editors | 28/09/2017
GFMA, KPMG report suggests the number of liquidity providers will decline; market participants can’t expect harmonised regulatory environment.
Enforcement
HK Regulator Seals 1st Conviction of Unlicensed Offshore Brokerage
By Editors | 25/09/2017
ETrade HK advertised its services for four years without a license; SFC says successful prosecution a 1st for the offence.
Crypto / Digital Assets
DLT Essential for Capital Market Participants to Meet Regulatory Obligations – JPX
By Samuel Riding | 21/09/2017
Market participants can’t meet diverse regulatory requirements without using DLT to share back office and post-trade functions, report suggests.
Securities / Derivatives
Dual Share Victory Doesn’t Guarantee HKEX the Last Laugh
By Peter Guy | 19/09/2017
The power struggle between HKEX and the SFC is over. The ultimate outcome is still uncertain.
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