Securities & Trading

US ICO Ruling Opens ‘Can of Worms’ for Asia

Securities and Exchange Commission’s decision to define ICOs as securities adds to uncertainty around regulatory treatment of the virtual economy. […]

July 27, 2017

HK Fund Dealing Desks Win OTC Capital Requirements Reduction

OTCD regime seen to need further tweaks following responses to 2015 consultation; fund manager dealing desks win capital requirements reduction. […]

July 27, 2017

Vietnam Regulator Cleans Up Markets in Advance of Derivatives Regime

State Securities Commission shuttered 28 firms and withdrew brokerage business licenses from another 13 institutions in 1H17; derivatives launch set […]

July 26, 2017

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

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Tackling the MiFID 2 Data Deluge in APAC

Aside from volume and speed requirements, Asia’s diverse information governance rules and sometimes insular institutions exacerbate MiFID 2 data challenge. […]

July 20, 2017

Emerging Asian Markets Suffer Shutdowns, Cyberattacks

Exchanges in India and Indonesia suffer outages, citing ‘technical issues’; brokers connected to Bursa Malaysia report spate of cyberattacks on two separate...

July 17, 2017

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The Big Picture – Talking Trading Surveillance with Nasdaq’s Ulf Carlsson

Regulation Asia discusses the latest trends in regulatory scrutiny of capital markets with Ulf Carlsson, general manager at Nasdaq in Hong Kong.

July 13, 2017

AUSTRAC Warns on Fraud, Money Laundering via Stock, Derivatives Markets

Fraud, money laundering more prevalent than even insider trading or market manipulation, Centre suggests; only 40% of market participants filed suspicious matter...

July 13, 2017