Latest News
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14Contributed ArticleSFC Fund Manager Code of Conduct – Five Steps to Compliance
Derek McGibney, Cordium July 17, 2018Investment management firms with operations in Hong Kong must turn its attention to the new SFC Fund Manager Code of Conduct, which...
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11EnforcementMUFG Brokerage Unit Primary Dealer Status Suspended
Manesh Samtani, Regulation Asia July 17, 2018Dealer found to be manipulating prices in JGB futures trading, resulting in one-month suspension of the firm's primary dealer status for one...
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21Asia-PacificThailand to Expand Collateral Allowed for Margin Trading
Manesh Samtani, Regulation Asia July 16, 2018The SEC is consulting on allowing debt instruments, government securities, and mutual fund units as collateral for margin accounts at securities firms.
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30InternationalISDA Consults on Fallback Benchmarks for Discontinued IBORs
Garima Chitkara, Regulation Asia July 16, 2018ISDA proposes adjustment options that will be applicable to fallback rates in the event a derivative references an IBOR that has been...
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27EnforcementJapan’s Higashi-Nippon Bank Under Fire for Lending Misconduct
Manesh Samtani, Regulation Asia July 16, 2018The bank falsified customers' financial records to boost loans, illicitly charged fees on loans in addition to interest, and used inappropriate financing...
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29ChinaChina Blocks Southbound Access to Dual-Class Stocks
Manesh Samtani, Regulation Asia July 16, 2018Shanghai and Shenzhen bourses release joint statement barring domestic investors from trading in foreign companies, stapled securities and stocks with weighted voting...
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31ChinaShanghai Bourse Studies Use of DLT for Securities Markets
Garima Chitkara, Regulation Asia July 16, 2018In a research paper, the SSE envisions DLT efficiency in post-trade settlement and securities issuance and trading, calling on regulators to “adapt...
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24IndiaSEBI Blocks Cash Payments To Stock Brokers
Garima Chitkara, Regulation Asia July 16, 2018Stock brokers are no longer allowed cash payments either directly or deposited into their bank accounts, as India aims to promote digital payments...
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22EuropeESMA Seeks Extension of Intragroup Clearing Exemption
Garima Chitkara, Regulation Asia July 16, 2018In intragroup transactions involving a third country entity, ESMA is seeking to extend its temporary clearing exemption for derivatives transactions.
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23Securities & TradingSGX to Roll Out Central Clearing for Bilateral OTC FX Derivatives
Garima Chitkara, Regulation Asia July 16, 2018Singapore Exchange to launch trading solutions allowing privately negotiated OTC FX trades to be cleared like standard FX futures; launch set for...
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