Securities / Derivatives

AML / KYC

Guotai Junan Fined for Breaching Client ID Rule

By Samuel Riding | 31/05/2016

SFC says securities firm took more than six months to comply with two-day disclosure rule.

Market Infrastructure

SEBI to Further Unify Commodity, Stock Exchange Rules

By Samuel Riding | 30/05/2016

Regulator has set up risk management committee to study contract discrepancies.

Market Infrastructure

SSE, SZSE Tighten Stock Suspension Guidelines

By Samuel Riding | 30/05/2016

Shanghai exchange says suspensions during 2015 market volatility prevented trading continuity.

Market Infrastructure

India to Slash Number of Listed Firms

By Editors | 27/05/2016

Approximately 1,200 companies suspended from trading for seven years will be asked to exit market.

Securities / Derivatives

CFTC Cracks Down on Swaps Offshoring

By Samuel Riding | 27/05/2016

Trades by US banks’ foreign units must adhere to US collateral requirements.

Securities / Derivatives

Citibank, Japan Affiliates Fined for Benchmark Manipulation

By Samuel Riding | 27/05/2016

Total fine for actions in US, Japan amounts to USD425mn and covers 2007 and 2012.

Market Infrastructure

SEBI to Increase Broker Monitoring, Issue HFT Regulations

By Samuel Riding | 27/05/2016

Regulator sets out priorities for 2016/17 including de-listing of 4,200 firms.

Market Infrastructure

CME Granted Singapore Clearing House Status

By Samuel Riding | 26/05/2016

Status allows CME Clearing to sign up direct members to exchange-traded and OTC contracts.

Market Infrastructure

SEC Freezes Account of Pakistan-based Trader

By Samuel Riding | 25/05/2016

US regulator says trader manipulated stock through false regulatory filing.