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Market Abuse
SEC Issues Risk Alert on Options Trading
By Editors | 15/08/2013
The SEC has issued a Risk Alert to help market participants detect and prevent options trading that circumvents an SEC […]
Trading & Investment
ASIC makes rules on dark liquidity, high-frequency trading
By Editors | 12/08/2013
ASIC has released its market integrity rules on dark liquidity and high-frequency trading. ASIC has also released guidance on the […]
Clearing & Post-Trade
SFC issues guidelines on CPSS-IOSCO Principles for financial market infrastructures
By Editors | 09/08/2013
(Hong Kong) The Securities and Futures Commission (SFC) today issued a set of guidelines for recognized clearing houses concerning the […]
Conduct, Culture & Accountability
Instinet Australia Pty Limited pays $130,000 infringement notice penalty
By Editors | 09/08/2013
Instinet Australia Pty Limited (Instinet) has paid a penalty of $130,000 to comply with an infringement notice given to it […]
Trading & Investment
Hong Kong companies urged to ensure Islamic bond compliance
By Editors | 09/08/2013
With Islamic finance finally taking root in Hong Kong, compliance and legal staff at the territory’s financial institutions offering sukuk, or Islamic bonds, must ensure that their structures conform to the law, said a local lawyer. Doing so was essential, he said, to obtaining preferential tax treatment.
Structural Regulation
Japan Agreement with Luxembourg on Audit Oversight
By Editors | 09/08/2013
The Financial Services Agency (FSA) and Certified Public Accountants and Auditing Oversight Board (CPAAOB) exchanged the Letter on cooperation in […]
Conduct, Culture & Accountability
New Zealand: Code of Conduct consultation underway
By Editors | 09/08/2013
The Code Committee for Financial Advisers is conducting its first review of the Code of Professional Conduct for Authorised Financial […]
Trading & Investment
Industry Speaks About Regulation in Asia
By Editors | 09/08/2013
Fidessa group plc (LSE: FDSA) has today announced the publication of its latest discussion paper, Harmony or Discord?, which looks […]
Clearing & Post-Trade
RBI policy document pushes CCIL closer to QCCP status
By Editors | 19/07/2013
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Capital Adequacy
Asian Banks Also Feeling Heat of Basel III Regulatory Obligations
By Editors | 30/04/2013
Banks around the world are finding that rapidly evolving regulatory changes are taking up a good amount of their attention.
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