Market Abuse

Anti-Money Laundering

Indian Brokers’ AML Compliance Under Heightened Scrutiny

By Editors | 20/08/2017

SEBI warned nearly 500 entities on possible money laundering over the last financial year; conducted 245 investigations into illegal stock market activity.

Market Abuse

Japanese Brokerages Testing AI Systems to Detect Market Manipulation

By Garima Chitkara | 14/08/2017

SBI and Rakuten expect artificial intelligence software to be operational for detecting market manipulation within this year.

Market Abuse

China Cracks Down on Investment Funds for IPO Rules Violation

By Garima Chitkara | 07/08/2017

China has blacklisted nine funds connected to HSBC for alleged “misbehaviour” in the financial markets, specifically pertaining to IPO’s.

Market Abuse

China Financial Futures Exchange Ups Enforcement

By Editors | 31/07/2017

Exchange says it addressed more than 600 ‘abnormal trades’ in 1H17 and referred nine cases to the securities regulator; keeping […]

Market Abuse

HKEX, CSRC and SFC on a Regulatory Collision Course

By Peter Guy | 31/07/2017

Regulatory problems in China market could spill into Hong Kong through HKEX’s new third board.

Market Abuse

Japanese Brokers Face Scrutiny of Information Controls

By Editors | 24/07/2017

Securities Dealers Association aims to ensure brokerage managers who are also investment bankers don’t reveal inside information. The new chief […]

Market Abuse

Talking Trading Surveillance with Nasdaq’s Ulf Carlsson

By Samuel Riding | 13/07/2017

Regulation Asia discusses the latest trends in regulatory scrutiny of capital markets with Ulf Carlsson, general manager at Nasdaq in Hong Kong.

Fraud, Scams & Cybercrime

AUSTRAC Warns on Fraud, Money Laundering via Stock, Derivatives Markets

By Editors | 13/07/2017

Fraud, money laundering more prevalent than even insider trading or market manipulation, Centre suggests; only 40% of market participants filed suspicious matter reports over 2-year period.

Market Abuse

China Regulators Target ‘Rat’ Traders

By Editors | 10/07/2017

Ministry of Public Security says it has uncovered 80 cases of the form of insider trading since 2014. CSRC to use big data as it continues crackdown.