Japan
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Japanese Brokers Face Scrutiny of Information Controls
Securities Dealers Association aims to ensure brokerage managers who are also investment bankers don’t reveal inside information. The new chief […]
July 24, 2017 -
Japan FSA Probing AML Compliance at Regional Banks
Regulator concerned rules introduced last October are not being executed consistently as regional and other smaller banks deal with increasing number of...
July 12, 2017 -
IMF Urges Japan to Contain Financial Risks
Japan has been urged to contain financial risks by the IMF (International Monetary Fund) after its Article IV Consultation for […]
June 22, 2017 -
Japan Finalises Stewardship Code
Final version of non-legally binding code includes several new principles for institutional investors.
May 31, 2017 -
Japan FSA Anticipates ‘C2B’ Banking System
Commissioner Nobuchika Mori suggests fintech will facilitate provision of ‘bespoke products to mass customers’.
May 31, 2017 -
Japan Passes HFT Legislation
Offshore HFTs must have offices in Japan; all must register with regulator, disclose risk management practices.
May 23, 2017 -
US Regulator Charges Nomura Traders with Fraud
Traders alleged to have made extra $750,000 in profit and boosted bonuses while deliberately lying to customers.
May 22, 2017 -
Japan’s Big 3 Banking Groups to Issue $84bn in TLAC Bonds – Moody’s
Bonds will meet requirement that TLAC instruments be equivalent to at least 18% of RWA.
April 5, 2017 -
Japan Regulator Cites Broker for Spoofing
Regulator says Virgin-islands registered broker manipulated four stocks.
March 20, 2017 -
Updated – Japan, UK Regulators Agree Fintech Referrals
JFSA also eyes cross-border rule making on blockchain.
March 10, 2017