Markets & Infrastructure

Conduct, Culture & Accountability

Indonesia to Tighten Research Rules

By Samuel Riding | 09/01/2017

Government official says to ban ‘inaccurate, speculative’ analysis.

Structural Regulation

Pakistan Sets Out AMC Sales, Marketing Conditions

By Samuel Riding | 06/01/2017

New rules cap marketing and selling expenses at 0.4% percent of net assets, limit expenses.

Trading & Investment

Cambodia Exchange Adds Block Trades Platform

By Samuel Riding | 06/01/2017

Mechanism said to allow larger trading volumes and reduce price volatility.

Structural Regulation

SEBI to Allow FPIs to Operate in IFSCs

By Samuel Riding | 06/01/2017

FPIs should abide with conditions such as informing custodians of their participation.

Fraud, Scams & Cybercrime

SFC Bans Ex-Citibank Staff for Tampering with Client Signature

By Samuel Riding | 06/01/2017

Regulator says former employee attempted to deceive bank on client application.

Structural Regulation

Fidelity Wins 1st Standalone Fund Management License in China

By Samuel Riding | 05/01/2017

Wholly foreign-owned enterprise is the first to obtain a license to operate independently.

Conduct, Culture & Accountability

HK SFC Reprimands, Fines MIS Services $0.4mn

By Samuel Riding | 04/01/2017

MIS Services, formerly Standard Chartered Investment Services, said non-compliant with MPF Code and Code of Conduct.

Structural Regulation

SEBI Approves BSE Listing

By Samuel Riding | 04/01/2017

Indian exchange will seek to sell stake of just under 30%; SGX to divest its 4.7% stake.

Supervision & Enforcement

Pakistan Regulator Flags Illegal Broker Financing

By Samuel Riding | 04/01/2017

Enforcement division finds illegal in-house financing, non-collection of margin.