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Reporting on regulatory approaches, ethical considerations, and risk management for AI technologies deployed in financial services and markets.
Cloud & Infrastructure
Australia, UK to Enable Cross Market Sandbox Participation
By Manesh Samtani | 25/03/2018
Under the enhance cooperation agreement, the FCA and ASIC will speed up cross-market authorisations and testing for innovative businesses.
Trading & Investment
Malaysia Set to License its First Robo-advisory
By Garima Chitkara | 22/03/2018
Securities Commission 2017 annual report reveals eligibility and application requirements for digital investment management; first robot-advisory license to be granted in 2018.
Market Abuse
Japan Introduces AI Market Surveillance
By Samuel Riding | 21/03/2018
System from Hitachi and NEC will identify potential unfair trading, but humans will still be relied on to interpret data.
Trading & Investment
UPDATED – India Securities Regulator Mulls Changes to Algorithmic Trading Framework
By Garima Chitkara | 18/03/2018
SEBI is considering imposing a congestion charge for high volume trading to address concerns on unfair market access to India’s exchange trading systems.
Data Privacy
MAS to Streamline Data Submissions, Reduce Burden for FIs
By Editors | 16/03/2018
Financial institutions will be allowed to decline MAS requests for previously-submitted data; new regulatory returns to be submitted in machine-readable formats.
Cloud & Infrastructure
Hong Kong’s Fintech Sandbox Risks Alienating Innovators
By Manesh Samtani | 28/02/2018
HKMA financial technology sandbox needs to evolve to maximise value for all concerned, a new study suggests.
Conduct, Culture & Accountability
New Zealand Opens Up Robo-Advisory Market
By Manesh Samtani | 26/02/2018
Applicants will need to demonstrate capability and competency to provide robo-advice while ensuring consumer protection.
Emerging Prudential Risks
Too Early to Assess Fintech Risks – DTCC
By Samuel Riding | 14/02/2018
Firm suggests fintech adoption has clear benefits, but the systemic risks from increased adoption have yet to fully emerge.
Cloud & Infrastructure
Banks’ Fintech Reluctance Leaves Market Share Up for Grabs
By Peter Guy | 31/01/2018
Despite technological improvement and innovation, FIs are still not embracing fintech, and start-ups are finding it harder than expected to gain traction.
Market Abuse
South Korea to Introduce AI Market Monitor
By Samuel Riding | 26/01/2018
Korea Exchange says it will introduce AI system in July; could later expand to cover its secondary market, KOSDAQ.
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