Securities & Trading
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597Standard Chartered Brokerage Arm Hit With $330,000 Fine
Editors, Regulation Asia December 19, 2017SFC investigation reveals internal control failures resulted in at least 61 regulatory breaches involving short selling, required liquid capital deficit of HKD2 billion.
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484Korea to Ban Foreigners from Cryptocurrency Trading Accounts
Editors, Regulation Asia December 18, 2017Government has made abrupt about turn to legitimize cryptocurrencies by bringing them under greater regulatory purview.
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644Geopolitical Risk a Grave Concern for Financial Services in 2018
Editors, Regulation Asia December 14, 2017DTCC report says cyber risk continues to be seen as greatest threat, but many firms now see geopolitical issues as one of the five biggest concerns.
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444Malaysia, Thailand and Indonesia Launch Local Currency Clearing
Editors, Regulation Asia December 13, 2017Deal involving multiple regional banks, which takes effect on 2 January, will enable wider use of domestic currencies in financial investment.
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463Hong Kong Court Confirms Legality of SFC-CSRC Information Sharing
Editors, Regulation Asia December 12, 2017Judge rejects legal challenge to transfer of documents seized by SFC during execution of a search warrant to the Chinese securities regulator.
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Malaysia to Allow Retail Investment in Wholesale Bond, Sukuk Market
Editors, Regulation Asia December 11, 2017Securities regulator hopes to introduce regulations by first quarter of next year to democratise $300bn market.
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India to Allow Funds, Portfolio Managers to Invest in Commodity Derivatives
Editors, Regulation Asia December 11, 2017Securities regulator says market has had insufficient institutional involvement, leading to poor price discovery and risk management.
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1.6KMiFID II: Everything European Banks Active in Asia Need to Know
Fabienne Sayarath, Sia Partners December 7, 2017Exploring key issues including the status of local subsidiaries, trading venue uncertainty, transaction reporting and more as the deadline looms.
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658
Don’t Panic – MiFID II Set for ‘Soft’ Launch
Samuel Riding, Regulation Asia December 7, 2017Experts say regulators likely to accept a ‘best efforts’ approach for at least several weeks after MiFID II official implementation deadline.
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507China Introduces New Risk Management Rules for Exchange Members
Editors, Regulation Asia December 7, 2017New rules, which go into effect on 1 June next year, include restrictions on buy-in of securities companies, fund companies and other participants.
