Securities / Derivatives

Securities / Derivatives

BNM Fines Institution $315,000 for Failing to Report Misconduct

By Samuel Riding | 25/01/2017

Central bank says institution failed to report misconduct found during an audit, has been ‘strongly censured’.

Securities / Derivatives

SEBI Orders Exchanges to Provide Fair Access

By Samuel Riding | 24/01/2017

Data must include clear and precise information on co-location facilities.

Market Infrastructure

Myanmar Exchange to Launch Online Trading

By Samuel Riding | 24/01/2017

Region’s youngest exchange says six securities companies are ready to trade.

Securities / Derivatives

Chinese Hedge Fund Manager Jailed for 5 Years

By Samuel Riding | 24/01/2017

Xu Xiang said to have manipulated stocks, traded on inside information.

AML / KYC

HK, US Regulators Agree Cross-Border Monitoring

By Samuel Riding | 20/01/2017

Agreement covers cooperation on license exemptions and on-site visits for financial infrastructures and firms.

Securities / Derivatives

Ex HSBC, Deutsche Traders Guilty of Deception

By Samuel Riding | 19/01/2017

Investigation finds traders failed to disclose beneficial ownership, illegally profited from trades.

Market Infrastructure

SSE to Tighten Supervision, Enforcement in 2017

By Samuel Riding | 18/01/2017

Exchange suggests 2017 will be more challenging due to market uncertainties, development.

Market Infrastructure

India to Revamp Stock Trading Regulations

By Samuel Riding | 18/01/2017

Securities regulator to also tighten market scrutiny, issue new rules for exchanges, clearers and brokers.

Securities / Derivatives

CSRC Mulls Easing Futures Trading Rules

By Samuel Riding | 17/01/2017

New measures could include reduced margin requirement, increased trading allowance.