Securities / Derivatives

Capital / Liquidity

Asia Set to Withstand Regulatory Uncertainty – IMF

By Samuel Riding | 23/03/2017

Regional representative Geoffrey Heenan addresses potential ‘balkanisation’ in regulatory reform.

Securities / Derivatives

MAS, Singapore Police Seal Spoofing Conviction

By Samuel Riding | 23/03/2017

Former remisier manipulated prices of stocks; traded CFDs on resulting market movements.

Securities / Derivatives

SGX Accepts Order to Improve Resilience

By Samuel Riding | 22/03/2017

Exchange needs to improve six measures over the next 24 months, will contribute costs.

Securities / Derivatives

HKEX Subsidiary Launches OTC Client Clearing

By Samuel Riding | 22/03/2017

OTC Clear can also accept some types of non-cash collateral.

AML / KYC

ASIC Sets out Blockchain Regulatory Framework

By Samuel Riding | 21/03/2017

Regulator will ask six questions to assess a DLT’s regulatory compliance.

AML / KYC

Updated – MAS Raises Spectre of Algo ‘Contagion’

By Samuel Riding | 21/03/2017

Singapore regulator using clustering, network analysis; to set up supervisory technology unit.

Securities / Derivatives

Westpac, ANZ Submit to Forex Trading Supervision

By Samuel Riding | 20/03/2017

Banks will be under third-party supervision as they fix ‘systems, control and monitoring’.

AML / KYC

FSB Chief Urges Continuation of Reform

By Samuel Riding | 20/03/2017

But Mark Carney suggests body will investigate ‘unintended consequences’ of regulation.

AML / KYC

HK SFC Fines Brokerage $335,000 for 300 AML Failures

By Samuel Riding | 15/03/2017

Zhongtai International breached AML/CTF Ordinance, Code of Conduct and SFC guidance.