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Securities / Derivatives
US Regulator Charges Nomura Traders with Fraud
By Samuel Riding | 22/05/2017
Traders alleged to have made extra $750,000 in profit and boosted bonuses while deliberately lying to customers.
Market Infrastructure
SGX Confirms Regulatory Subsidiary Chairman
By Samuel Riding | 07/04/2017
Professor Tan Cheng Han will take up role in the 3rd quarter this year, exchange says.
Capital / Liquidity
Japan’s Big 3 Banking Groups to Issue $84bn in TLAC Bonds – Moody’s
By Samuel Riding | 05/04/2017
Bonds will meet requirement that TLAC instruments be equivalent to at least 18% of RWA.
Japan Regulator Cites Broker for Spoofing
By Samuel Riding | 20/03/2017
Regulator says Virgin-islands registered broker manipulated four stocks.
Market Infrastructure
Updated – Japan, UK Regulators Agree Fintech Referrals
By Samuel Riding | 10/03/2017
JFSA also eyes cross-border rule making on blockchain.
Capital / Liquidity
Japan to Audit Regional Banks’ Foreign Debt Exposure
By Samuel Riding | 09/03/2017
Probe will also look at senior management involvement in decisions of asset management units.
Japan FSA to Confirm VM Exemptions
By Samuel Riding | 01/03/2017
Banks will not have to post VM in transactions with jurisdictions which have no margin rules or have granted forbearance.
Market Infrastructure
Tokyo Exchange to Deploy Machine Learning, AI Surveillance
By Samuel Riding | 01/03/2017
Exchange will deploy NEC machine learning, Hitachi AI technology.
Japan Regulator Issues ‘Culture’ Recommendations
By Samuel Riding | 21/02/2017
Seven ‘principles’ designed to ensure financial business operators focus on customer needs.
Market Infrastructure
Japan, Iran Agree Joint Supervision
By Samuel Riding | 15/02/2017
Letter covers cross-border establishments, includes provisions on information sharing, training.
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