Securities & Trading
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CPMI, IOSCO Call for Uniformity in UPI Creation, Reporting
Editors, Regulation Asia October 2, 2017Report proposes that each UPI maps to reference data which indirectly describes an OTCD product without identifying transaction details.
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Equivalence not Regulatory Harmonisation the Answer for Asian FX
Editors, Regulation Asia September 28, 2017GFMA, KPMG report suggests the number of liquidity providers will decline; market participants can’t expect harmonised regulatory environment.
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HK Regulator Seals 1st Conviction of Unlicensed Offshore Brokerage
Editors, Regulation Asia September 25, 2017ETrade HK advertised its services for four years without a license; SFC says successful prosecution a 1st for the offence.
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DLT Essential for Capital Market Participants to Meet Regulatory Obligations – JPX
Samuel Riding, Regulation Asia September 21, 2017Market participants can't meet diverse regulatory requirements without using DLT to share back office and post-trade functions, report suggests.
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726Dual Share Victory Doesn’t Guarantee HKEX the Last Laugh
Peter Guy, Regulation Asia September 19, 2017The power struggle between HKEX and the SFC is over. The ultimate outcome is still uncertain.
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HK SFC Inquiries Reveal Fund Managers’ Best Execution Failings
Samuel Riding, Regulation Asia September 18, 2017Investigations of about 250 firms including subsidiaries of US and EU players also find weaknesses in avoiding conflicts of interest and liquidity management.
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India to Boost Securities Lending to Support Derivatives Market Development
Editors, Regulation Asia September 18, 2017SEBI consults on lending and borrowing in cash derivatives segment, asks whether physical settlement should be made compulsory.
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Shanghai Futures Exchange Flags Abnormal Market Behaviours
Editors, Regulation Asia September 18, 2017More than half of abnormal transactions which require disciplinary action by futures exchange involve the frequent placing and cancellation of orders.
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SGX Regulatory Subsidiary Ready to Start Operations
Editors, Regulation Asia September 12, 2017SGX RegCo will begin operations on Friday (12 September) with three new board members joining Tan Cheng Han and Tan Boon Gin at the helm.
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A Question of Control – Central Banks Move Against Cryptocurrencies
Peter Guy, Regulation Asia September 11, 2017Central and global banks reveal true intent for controlling bitcoin and other cryptocurrencies.
