Markets & Infrastructure

Conduct, Culture & Accountability

HK Regulators Warn on Conflicts of Interest in Product Sales

By Editors | 27/11/2017

HKMA, SFC say some intermediaries aren’t revealing related counterparties, not executing at best price, hide cheaper products.

Structural Regulation

Singapore, Abu Dhabi to Cooperate on Banking Supervision, Markets, Fintech

By Editors | 27/11/2017

Middle Eastern regulator has already approved one Singapore firm to provide credit services; Singapore firm won Fintech challenge.

Conduct, Culture & Accountability

HKMA Chief Urges Hong Kong Companies to Improve Corporate Governance

By Garima Chitkara | 23/11/2017

Hong Kong financial companies need further improvements to guard against risky behaviour.

Conduct, Culture & Accountability

HSBC Private Bank Fined $50mn for Crisis-era Product Mis-selling

By Editors | 23/11/2017

Securities and Futures Appeals Tribunal says future fines will be similarly large and exceed ‘mere cost of doing business’.

Trading & Investment

Hong Kong to Continue to Allow Mutual Fund Sales Commissions

By Editors | 20/11/2017

Securities and Futures Commission says Hong Kong is not ready to ban commissions and introduce a pay for advice model.

AI Risk & Governance

The Final Frontier of Financial Regulation

By Peter Guy | 20/11/2017

FSB’s recent paper on artificial intelligence and machine learning reveal how far we are from managing its unknown effects on financial markets.

Alternative Markets

Korea to Launch New OTC Market for Professional Investors

By Editors | 20/11/2017

Existing OTC platform has not been successful due to institutional investors’ concerns about having to give details of their trading strategies.

Market Data & Technology

Japanese Banks Call for Simplified UPI Rules

By Editors | 20/11/2017

Bankers Association says its members already provide legal identifiers under local regulation and the rules of countries in which they operate.