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Coverage of regulatory developments, market trends, and operational standards across asset classes, financial products, and trading venues.
Trading & Investment
IOSCO Calls for Clampdown on OTC Leveraged Products
By Manesh Samtani | 16/02/2018
New report urges enhanced risk disclosures, leverage limits and curbs on mis-selling; cites studies showing most investors in OTC leveraged products lose money.
Market Abuse
Interactive Brokers HK Fined for Trading System Failures
By Editors | 15/02/2018
The firm’s electronic trading system repeatedly submitted orders without regard for market liquidity and without effective price and volume controls.
Trading & Investment
China Urges Major Shareholders, Mutual Funds to Buy Equities
By Editors | 13/02/2018
Major shareholders encouraged to buy more shares to stabilise the market and protect investors; mutual funds should avoid being net sellers.
Supervision & Enforcement
Credit Suisse Hong Kong Fined $5mn
By Editors | 10/02/2018
Regulatory breaches include failures related to segregation of client securities, reporting of transaction, noncompliance with short selling requirements, unsuitability of investment products sold to clients.
Trading & Investment
Research in an Unbundled World
By Roland De Marsangy | 08/02/2018
Buy-side firms are finding their way to new ways of profiting from their research, and market volumes appear unaffected in the early stages of the MiFID II era.
Trading & Investment
SFC Highlights Areas of Concern on Best Execution
By Bradley Maclean | 08/02/2018
Hong Kong SFC’s recent report on licensed corporations attitudes towards best execution practices shows there is much to be desired.
Structural Regulation
Indonesia Faces Resistance on Asean Banking Protocol
By Editors | 08/02/2018
Indonesian parliamentary commission appear unsure about Indonesian Banks’ ability to compete with foreign banks.
Trading & Investment
S. Korea Scraps Plan for Tougher Capital Gains Taxes on Foreigners
By Editors | 08/02/2018
Securities firms don’t have the infrastructure to support the plan; critics say it would have disrupted markets and caused capital flight.
Trading & Investment
Singapore, Malaysia Unveil Plans for Cross Border Stock Trading Link
By Manesh Samtani | 07/02/2018
Link to be operational by year-end; will enable cross-border trading, clearing, settlement of shares between SGX and Bursa Malaysia.
Structural Regulation
India’s Financial Centre to Get Unified Regulator
By Garima Chitkara | 05/02/2018
Tax concessions and single window clearance to businesses and investors announced in annual budget by Indian government.
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