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News on regulatory investigations, enforcement actions, and technologies addressing practices like insider trading, market manipulation, and spoofing.
KYC & CDD
China Probes Major Brokerages for Client Rules Violations
By Editors | 28/08/2015
The China Securities Regulatory Commission has launched an investigation into some of China’s largest brokerages for suspected rule violations.
Market Abuse
MAS Seeks to Strengthen Enforcement Regime
By Editors | 26/08/2015
The Monetary Authority of Singapore has proposed new rules aimed at strengthening the effectiveness of its enforcement regime in deterring market misconduct.
Market Abuse
Brokers Ask SEBI to Introduce Algorithmic Trading Controls
By Editors | 13/08/2015
Brokers have asked the Securities and Exchange Board of India to put in place a ‘risk layer’ framework to manage the interaction between participants and exchanges, in order to prevent stock manipulation by algorithmic traders.
Trading & Investment
China Imposes Intraday Trading Restriction to Limit Short Selling
By Editors | 04/08/2015
Chinese regulators have restricted short selling of stocks in their latest step to stabilise the equity market and reduce volatility.
Market Abuse
SEBI to Penalise Misuse of Algorithmic Trading Technology
By Editors | 02/08/2015
The Securities and Exchange Board of India has warned that it will penalise anyone trying to manipulate the markets with algorithmic trading technology.
Market Abuse
Nomura Hong Kong Fined for Disclosure Failings
By Editors | 31/07/2015
SFC fines Nomura Hong Kong HK$4.5 million for failing to promptly report trading misconduct by one of its traders.
Market Abuse
China Cracks Down on Grey Market Margin Lending
By Editors | 16/07/2015
The China Securities Regulatory Commission has increased scrutiny of peer-to-peer lenders, which have been operating outside of approved margin lending channels.
Market Abuse
Banks Uncooperative in Australia Rate-Setting Probe
By Editors | 11/07/2015
The Australian Securities and Investments Commission says banks have been slow in providing information on possible manipulation of Australia’s interest-rate benchmark.
Supervision & Enforcement
ASIC Calls for Tougher Penalties Against White-Collar Crimes
By Editors | 12/05/2015
Australia’s chief securities regulator wants to introduce tougher criminal penalties for financial crimes so market participants are forced into following the law.
Market Abuse
Hong Kong’s SFC Says Will Be On Guard for Market Manipulation
By Editors | 12/05/2015
Securities and Futures Commission would watch market activity closely to ensure against market manipulation amid a surge in trading volume.
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