The amendments update the requirements pertaining to customer margining and introduce rules to govern the use of algorithmic trading.
September 21, 2023The proposals include a new best execution regulatory framework, a new order competition rule, and requirements for brokers to provide better disclosures on execution quality.
December 18, 2022Brokers "should not receive PFOF in placing and/or executing customers’ orders" because it "introduces conflicts of interests" and is "likely to cause harm to customers", MAS says.
November 7, 2022CommSec and AUSIEX demonstrated "widespread, systemic compliance failures" over a nine-year period, said ASIC deputy chair Sarah Court.
October 28, 2022QUICK Corp will disseminate real time market information obtained from Osaka Digital Exchange's Proprietary Trading System for listed securities.
August 9, 2022Brokers will have to send orders from retail investors to "open and transparent" auctions and meet stronger best execution obligations.
June 10, 2022Securities firms are required to provide customers with easy-to-understand descriptions of their best execution policy.
May 28, 2022A new report provides considerations for regulators when reviewing the regulation of market data provided by trading venues or OTC markets.
April 29, 2022The firm routed customer orders to its own ATS before routing any part of the order to an exchange of the customer’s preference, FINRA said.
March 10, 2022MAS finalised the best execution requirements in September 2020, giving firms an 18-month transitional period for compliance.
March 8, 2022