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Coverage of regulatory developments, market trends, and operational standards across asset classes, financial products, and trading venues.
Trading & Investment
ESMA Gives Investment Firms, Issuers More Time on LEIs
By Editors | 21/12/2017
Six months forbearance to be allowed for obtaining LEI codes from clients, non-EU issuers of financial instruments.
Structural Regulation
Shenzhen, Laos Exchanges Sign MoU on Capital Market Cooperation
By Editors | 19/12/2017
SZSE and LSX to share information, personnel, technology, expertise; financial infrastructure connectivity to facilitate cross-border ‘economic corridor’.
Trading & Investment
Standard Chartered Brokerage Arm Hit With $330,000 Fine
By Editors | 19/12/2017
SFC investigation reveals internal control failures resulted in at least 61 regulatory breaches involving short selling, required liquid capital deficit of HKD2 billion.
Trading & Investment
Malaysia to Allow Retail Investment in Wholesale Bond, Sukuk Market
By Editors | 11/12/2017
**Securities regulator hopes to introduce regulations by first quarter of next year to democratise $300bn market.
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Trading & Investment
India to Allow Funds, Portfolio Managers to Invest in Commodity Derivatives
By Editors | 11/12/2017
Securities regulator says market has had insufficient institutional involvement, leading to poor price discovery and risk management.
Structural Regulation
MiFID II: Everything European Banks Active in Asia Need to Know
By Fabienne Sayarath | 07/12/2017
Exploring key issues including the status of local subsidiaries, trading venue uncertainty, transaction reporting and more as the deadline looms.
Structural Regulation
Don’t Panic – MiFID II Set for ‘Soft’ Launch
By Samuel Riding | 07/12/2017
Experts say regulators likely to accept a ‘best efforts’ approach for at least several weeks after MiFID II official implementation deadline.
Trading & Investment
China Introduces New Risk Management Rules for Exchange Members
By Editors | 07/12/2017
New rules, which go into effect on 1 June next year, include restrictions on buy-in of securities companies, fund companies and other participants.
Structural Regulation
Singapore Releases SIBOR Benchmark Reform Proposals
By Garima Chitkara | 07/12/2017
Consultation is based on IOSCO principles, FSB recommendations, comes four years after 20 banks disciplined for benchmark manipulation.
Trading & Investment
MiFID II – Banks Struggle to Survive the Transparency
By Peter Guy | 05/12/2017
Liquidity requires symmetric information, which is easiest to achieve when everyone is ignorant.
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