Markets & Infrastructure

Structural Regulation

HK SFC Reprimands, Fines 2 JP Morgan Operations

By Samuel Riding | 21/10/2016

Entities breached disclosure rules, offered index options without due licence, had inadequate system controls.

Structural Regulation

Luxembourg to Help Develop Vietnam Stock Market Law

By Samuel Riding | 20/10/2016

Agreement aims to support Vietnam securities market, enhance management, protect investors.

Market Abuse

Shanghai Futures Exchange Adopts Nasdaq Surveillance Platform

By Samuel Riding | 20/10/2016

New platform will monitor Exchange’s more than 200 members, 700 distant trading terminals.

Conduct, Culture & Accountability

HK’s SFC Reprimands, Fines Forex Service $500,000

By Samuel Riding | 20/10/2016

SFC concludes HK FXCM did not treat clients fairly or have proper controls, policies.

Trading & Investment

Japan to Tighten HFT Regulations

By Samuel Riding | 20/10/2016

New rules to cover trader registration and risk-management requirements.

Supervision & Enforcement

Taiwan Selects New FSC Chief

By Samuel Riding | 20/10/2016

New chief is Bank of Kaohsiung chairman; former FSC chair quit amid Mega Bank scandal.

Clearing & Post-Trade

DTCC Appoints Tim Keady to Lead Firms’ DTCC Solutions Businesses

By Samuel Riding | 19/10/2016

New York/London/Hong Kong/Singapore, 18 October 2016 – The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for […]

Alternative Markets

Pakistan Grants 1st PE, VC, Alternative Fund Licence

By Samuel Riding | 19/10/2016

First license under 2015 regulation opens door to expansion of non-banking financial institutions.

Market Abuse

India’s NSE Launches HFT Forensic Audit

By Samuel Riding | 19/10/2016

Deloitte asked to looking into audit systems, investigate brokers and officials amid ‘fair access’ violations.