Securities / Derivatives
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Westpac, ANZ Submit to Forex Trading Supervision
Samuel Riding March 20, 2017Banks will be under third-party supervision as they fix ‘systems, control and monitoring’.
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FSB Chief Urges Continuation of Reform
Samuel Riding March 20, 2017But Mark Carney suggests body will investigate ‘unintended consequences’ of regulation.
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HK SFC Fines Brokerage $335,000 for 300 AML Failures
Samuel Riding March 15, 2017Zhongtai International breached AML/CTF Ordinance, Code of Conduct and SFC guidance.
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IOSCO Launches APAC Hub
Samuel Riding March 15, 2017Hub is intended to build regulatory capacity in APAC jurisdictions.
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Vietnam Derivatives Market Set for May/June
Samuel Riding March 13, 2017Regulator to also develop covered warrants framework; is lobbying for stock exchange merger.
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ASEAN Exchanges Eye Regulatory Harmony
Samuel Riding March 13, 2017CEOs also agree to promote cross-exchange listings, mutual recognition of capital market professionals.
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Australian Regulators Issue Equity Settlement Consultation
Samuel Riding March 10, 2017Paper seeks comment on potential risks from 3 possible models for competition.
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MAS Completes Blockchain Settlement Project
Samuel Riding March 10, 2017SGX to trial distributed ledger in fixed income trading, settlement.
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Pakistan Escalates Insider Trading Crackdown
Samuel Riding March 10, 201724 brokers issued ‘show cause’ notices, another 26 in the firing line.
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SEBI Allows All-digital Fee Payments
Samuel Riding March 9, 2017Indian securities regulator also amends charges on derivatives transactions.
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