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Coverage of regulatory developments, market trends, and operational standards across asset classes, financial products, and trading venues.
Structural Regulation
State Media Details China’s Plans to Open up Capital Markets
By Editors | 28/09/2017
Global Times says domestic officials are increasingly frustrated by the slow pace of opening up and reform of capital markets.
Structural Regulation
Dual Share Victory Doesn’t Guarantee HKEX the Last Laugh
By Peter Guy | 19/09/2017
The power struggle between HKEX and the SFC is over. The ultimate outcome is still uncertain.
Trading & Investment
HK SFC Inquiries Reveal Fund Managers’ Best Execution Failings
By Samuel Riding | 18/09/2017
Investigations of about 250 firms including subsidiaries of US and EU players also find weaknesses in avoiding conflicts of interest and liquidity management.
Trading & Investment
India to Boost Securities Lending to Support Derivatives Market Development
By Editors | 18/09/2017
SEBI consults on lending and borrowing in cash derivatives segment, asks whether physical settlement should be made compulsory.
Market Abuse
Shanghai Futures Exchange Flags Abnormal Market Behaviours
By Editors | 18/09/2017
More than half of abnormal transactions which require disciplinary action by futures exchange involve the frequent placing and cancellation of orders.
Structural Regulation
CSRC to Push ‘Central Surveillance System’ for Exchanges
By Samuel Riding | 29/08/2017
Chairman Liu Shiyu cites ‘huge room for improvement’ in exchanges’ front-line supervision, citing failures exposed by 2015 stock market turmoil.
Market Abuse
Korea Toughens Short-selling Rules
By Samuel Riding | 28/08/2017
Measures are expected to sharply increase incidences of excessive short selling; new categories of offence come with heavier maximum penalty.
Structural Regulation
HKEX Risks Tech Firms’ Disfavour
By Peter Guy | 28/08/2017
HKEX needs to develop regulations and boards to accommodate the entire chain of technology from start-ups to unicorns.
AI Risk & Governance
Taiwan Allows Robo-advisory for Mutual Funds
By Garima Chitkara | 14/08/2017
Investment advisors can use robo-advisory technology to execute transactions and rebalance portfolios for clients as long as preset investment scale and return standards are maintained.
Trading & Investment
Malaysia Comes Out Against MYR Trading on SGX and ICE
By Garima Chitkara | 10/08/2017
Recent introduction of MYR futures in offshore exchanges a contravention to its foreign exchange management policy and rules.
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