Trading & Investment

    Coverage of regulatory developments, market trends, and operational standards across asset classes, financial products, and trading venues.

    Trading & Investment

    Thailand Throws Open Door to Global Markets for Domestic Investors

    By Manesh Samtani | 02/02/2018

    Individuals with assets between THB50-100mn can invest overseas up to THB1mn per year; securities and derivatives intermediaries set to participate.

    Conduct, Culture & Accountability

    SFC Identifies Product Selling Compliance Failures 

    By Samuel Riding | 28/01/2018

    Licensed corporations should ensure client suitability when recommending fixed-income and structured products, particularly for complex and risky products.

    Emerging Prudential Risks

    Singapore Fund Managers Highlight Political Risk: IMAS Survey

    By Garima Chitkara | 27/01/2018

    Majority of respondents expect to follow multi-asset strategy in response to political pressures; managers also concerned about fintech disruption and compliance costs.

    Trading & Investment

    HKEX Says to Improve Risk Management in 2018

    By Samuel Riding | 26/01/2018

    Charles Li says HKEX to expand Shenzhen and Shanghai Stock Connect to include ETFs, but proposed Hong Kong-London equivalent on the backburner.

    Trading & Investment

    Banks Will Struggle if Prop Trading is Reintroduced

    By Peter Guy | 22/01/2018

    US banks lobbied hard for a rollback of the Volcker Rule and a return to proprietary trading to bolster profits. They will soon find that it’s now a different world.

    Structural Regulation

    LEIs: Asia Following the Rest of the World

    By Tony Freeman | 18/01/2018

    Firms in the region either embrace, endure or avoid MiFID II’s LEI requirement, but must accept that it’s not just regulations from the US which now have a profound extraterritorial impact.

    Credit Risk

    China Tightens Rules on Stock Pledges, Repos

    By Editors | 17/01/2018

    Shenzhen, Shanghai exchanges confirm stock pledges and repos must serve real economy, limit proportion of stock allowed to be pledged.

    Structural Regulation

    Korea Announces Measures to Reform Kosdaq Market to Support Startups

    By Garima Chitkara | 15/01/2018

    Measures include overhauling Kosdaq listing requirements, strengthening competitiveness, and improving market soundness and investor trust.

    Market Abuse

    The Return of ‘Super Alpha’ and Regulatory Arbitrage

    By Peter Guy | 15/01/2018

    The return of SAC Capital’s founder with a new venture reveals the complicated ethics of a post financial crisis world.

    Trading & Investment

    ESMA Publishes List of Derivatives Subject to MiFID II Trading Rules

    By Samuel Riding | 11/01/2018

    Listed securities must be traded on regulated markets or organised trading facilities; no APAC venues yet to be granted equivalency.

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