Structural Regulation

Trading & Investment

SFC Fines BNP Paribas HK$15m for Dark Pool Failures

By Editors | 04/08/2015

SFC fines BNP Paribas HK$15m for failing to properly prioritise client orders in matching and obtain their consent in relation to its dark liquidity pool trading services.

Trading & Investment

China Imposes Intraday Trading Restriction to Limit Short Selling

By Editors | 04/08/2015

Chinese regulators have restricted short selling of stocks in their latest step to stabilise the equity market and reduce volatility.

Trading & Investment

IOSCO Publishes Review of Timeliness and Frequency of Information Disclosure

By Editors | 03/08/2015

Review finds that timely disclosure requirements on value, risk reward profile and costs of CIS are in place for all jurisdictions.

Structural Regulation

‘Significant Progress’ made in Regulation of Derivative Market Intermediaries, says IOSCO

By Editors | 02/08/2015

The International Organization of Securities Commissions has published its findings on the progress jurisdictions have made in adopting legislation, regulation and policies for derivatives market intermediaries.

Structural Regulation

Commodity Brokers Seek Lower Fees Ahead of SEBI-FMC Merger

By Editors | 02/08/2015

SEBI has proposed treating commodity brokers on par with equity brokers in terms of registration and transaction fees.

Structural Regulation

Internet Finance Guidelines May Favour Traditional Chinese Banks

By Editors | 02/08/2015

China’s move to regulate internet finance, though seen to legitimise a sector that has largely operated in a vacuum, may also reflect the government’s support for traditional banks.

Capital Adequacy

Changes to Securitisation Structures May Hit Smaller Aussie Lenders Harder

By Editors | 01/08/2015

The Australian Prudential Regulation Authority may end up shutting smaller lenders out of their main funding source with its toughened stance on securitised loans.

Structural Regulation

IOSCO Publishes Country Review of Pakistan’s Implementation of IOSCO Principles

By Editors | 01/08/2015

The International Organization of Securities Commissions has published a review of Pakistan’s implementation of IOSCO Principles, noting that its regulatory framework has undergone significant improvement in the structure and practice of regulation.

Clearing & Post-Trade

Bangladesh to Establish Clearing Corporation

By Editors | 31/07/2015

The Bangladesh Securities and Exchange Commission is drafting rules to establish a Clearing Corporation to perform clearing and settlement activities of the capital market.