Securities & Trading
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Australian Parliament Confirms Bank Reform Proposals
Samuel Riding, Regulation Asia April 26, 2017Stronger breach reporting requirement includes naming responsible senior executives.
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Chinese Legislature Reviews Securities Law Amendments
Samuel Riding, Regulation Asia April 25, 2017Proposed changes include greater enforcement, punishment powers for CSRC.
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Ex CSRC Official Fined $73mn
Samuel Riding, Regulation Asia April 24, 2017Feng Xiaoshu said to have made RMB248mn from illegal trades using family members’ accounts.
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Pakistan Tightens Brokerage Rules
Samuel Riding, Regulation Asia April 24, 2017Advisers have 6 months to meet new licensing regulations including capital, audit and accounting, and conduct requirements.
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MAS Chief Cites Technology as Top Regulatory Priority
Samuel Riding, Regulation Asia April 24, 2017Ravi Menon cites banks exit from some market segments, but says costs not sufficient reason for regulatory rollback.
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ASIC Confirms Further ASX Review
Samuel Riding, Regulation Asia April 21, 2017Regulator also eyeing conduct and culture; conflicts of interest, tech and market innovation risks.
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S.Korea Regulator to Focus on ‘Ex-post’ Supervision
Samuel Riding, Regulation Asia April 21, 2017Governor tells foreign firms FSS will shift from ‘punitive and ex-ante supervision’ in 'the Age of VUCA'.
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HK Regulator to Ask Brokers to Upgrade Cybersecurity
Samuel Riding, Regulation Asia April 20, 2017Development follows on from January warning on DDOS hacks and blackmail.
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ESMA to Cooperate with New Zealand Regulators on CCPs
Editors, Regulation Asia April 20, 2017MoU recognises New Zealand's CCPs as able to provide clearing to EU clearing members, trading venues.
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India Allows Equity Derivatives at IFSCs
Samuel Riding, Regulation Asia April 17, 2017Position limit set at 10% of free float; 50% of domestic market MWPL by value.
