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Conduct, Culture & Accountability
SFC Raises Standards for Client Facilitation Trades
By Editors | 17/02/2018
Client facilitation traders must be segregated from agency traders to protect client information and avoid conflicts of interest.
Structural Regulation
India Eases Market Access for Foreign Institutions
By Manesh Samtani | 17/02/2018
Private banks, merchant banks can invest on behalf of FPI clients; pre-approval requirement for switching local custodian effectively scrapped.
Structural Regulation
SEC Blocks China-linked Acquisition of Chicago Exchange
By Editors | 17/02/2018
US regulator says deal didn’t comply with rules governing stock exchange ownership, lacked transparency on source of funds and relationships among investors.
Trading & Investment
IOSCO Calls for Clampdown on OTC Leveraged Products
By Manesh Samtani | 16/02/2018
New report urges enhanced risk disclosures, leverage limits and curbs on mis-selling; cites studies showing most investors in OTC leveraged products lose money.
Conduct, Culture & Accountability
Australia Creates New Financial Complaints Body
By Editors | 16/02/2018
New body merges three existing complaints authorities; will streamline complaints process and quicken dispute resolution for customers.
Structural Regulation
China ‘Super Regulator’ Needs New Structure to Boost Effectiveness: PBoC Researcher
By Editors | 16/02/2018
FSDC should focus on horizontal coordination and supervision of regulatory agencies instead of the current vertical coordination; PBoC should have a greater supervisory role.
Conduct, Culture & Accountability
Singapore to Raise Focus on Investment Fund Conduct, Governance
By Garima Chitkara | 15/02/2018
MAS executive director also speaks about variable capital structure framework for investment funds slated for implementation in 2018.
Conduct, Culture & Accountability
CBRC Targets Banker Misconduct
By Samuel Riding | 15/02/2018
CBRC proposals would require banks to set up conduct management departments, submit conduct codes to regulator, establish whistle blower mechanism.
Market Abuse
Interactive Brokers HK Fined for Trading System Failures
By Editors | 15/02/2018
The firm’s electronic trading system repeatedly submitted orders without regard for market liquidity and without effective price and volume controls.
Cryptocurrency
S. Korea Explores NY-style ‘Bitlicense’ for Cryptocurrency
By Manesh Samtani | 14/02/2018
The plan could include minimum capital and financial reporting requirements to qualify for a cryptocurrency exchange license.
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