Markets & Infrastructure

Cloud & Infrastructure

ASIC and Fintech: A Model Regime

By Peter Guy | 27/10/2016

Regulator’s fintech commissioner reveals how forward looking authority deals with rapid technological change.

Credit Risk

SEBI to Revamp Credit Rating Rules

By Samuel Riding | 26/10/2016

New regulations aim to minimise conflict of interest, ensure independent rating decisions.

Structural Regulation

Philippine Regulator Mulls Interest Rate Cap

By Samuel Riding | 24/10/2016

Informal lenders must define “reasonable” interest rates for consumers

Conduct, Culture & Accountability

Japan to Clamp Down on Excessive Sales Quotas

By Samuel Riding | 21/10/2016

Move aims to avoid unreasonable sales targets and abuses similar to those at Wells Fargo.

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.