Securities & Trading
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DLT Essential for Capital Market Participants to Meet Regulatory Obligations – JPX
Market participants can't meet diverse regulatory requirements without using DLT to share back office and post-trade functions, report suggests.
September 21, 2017 -
114Dual Share Victory Doesn’t Guarantee HKEX the Last Laugh
The power struggle between HKEX and the SFC is over. The ultimate outcome is still uncertain.
September 19, 2017 -
HK SFC Inquiries Reveal Fund Managers’ Best Execution Failings
Investigations of about 250 firms including subsidiaries of US and EU players also find weaknesses in avoiding conflicts of interest and liquidity...
September 18, 2017 -
India to Boost Securities Lending to Support Derivatives Market Development
SEBI consults on lending and borrowing in cash derivatives segment, asks whether physical settlement should be made compulsory.
September 18, 2017 -
Shanghai Futures Exchange Flags Abnormal Market Behaviours
More than half of abnormal transactions which require disciplinary action by futures exchange involve the frequent placing and cancellation of orders.
September 18, 2017 -
SGX Regulatory Subsidiary Ready to Start Operations
SGX RegCo will begin operations on Friday (12 September) with three new board members joining Tan Cheng Han and Tan Boon Gin...
September 12, 2017 -
A Question of Control – Central Banks Move Against Cryptocurrencies
Central and global banks reveal true intent for controlling bitcoin and other cryptocurrencies.
September 11, 2017 -
ASIC Eyes Accountability for Algorithmic System Operators
Regulator’s chairman says each algorithmic system must have designated individual responsible for design and outcomes, echoing new bank accountability regime.
September 11, 2017 -
Taiwan Tightens Securities, Futures Firms’ Internal Control Requirements
New regulations will require firms involved in securities and futures markets to set up separate AML/CTF units, boost FSC inspection powers.
September 7, 2017 -
SEBI Bars 19 Firms for Depository Receipt Market Manipulation
Regulator says violations could make investors ‘lose faith in the Indian securities market and even good companies will find it extremely difficult...
September 7, 2017