Securities & Trading
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EC Grants CCP/Trading Venue Equivalency to 6 APAC Jurisdictions
Samuel Riding, Regulation Asia December 20, 2016CCP regulation deemed equivalent in India, New Zealand and Japan; venues in Australia, Japan and Singapore.
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HK SFC Asks Brokerage to Freeze Client Account
Samuel Riding, Regulation Asia December 19, 2016Regulator says client account is suspected of being involved in market manipulation, account hacking.
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HK SFC Issues Management Accountability Rules
Samuel Riding, Regulation Asia December 19, 2016Proposals cover eight main functions including compliance and AML/CTF.
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India Seeks to Ban 5 Brokers Over NSEL Scam
Samuel Riding, Regulation Asia December 16, 2016Court order includes accusations that brokers are not ‘fit and proper’ to act in securities market.
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SFC Revokes Securities Firm License for ‘Egregious Conduct’
Samuel Riding, Regulation Asia December 16, 2016Officers banned from the industry for using client money for personal use.
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Deloitte’s NSE Audit Finds ‘Technical Lapses’
Samuel Riding, Regulation Asia December 16, 2016No individual involvement or human fault involved, report will say.
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MAS Proposes Short-selling Disclosure Rules
Samuel Riding, Regulation Asia December 16, 2016Some trades to be reported to exchange, others to the regulator itself.
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Indonesia Exchange Re-expands Price Swing Limits
Samuel Riding, Regulation Asia December 16, 2016Stocks can now rise or fall 20% in a session; previous downside limit was 10%.
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APAC Regulators Set to Up Cyber-scrutiny
Samuel Riding, Regulation Asia December 14, 2016FIs should also brace for more monitoring, enforcement, according to Deloitte, Simmons and Simmons.
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China Exchanges Issue Bond Repo Risk Guidelines
Samuel Riding, Regulation Asia December 14, 2016Measures aim to strengthen risk management and ensure long-term bond market growth.
