The rules strengthen requirements for firms to protect customers and implement transaction management and process controls.
January 24, 2023In designing the standards, the GDF has leveraged the framework and high-level principles existing in the FX Global Code.
January 9, 2023The rules allow futures companies to conduct market-making activities for stock options and require stock exchanges to supervise programmatic trading activities.
January 4, 2023Regulators are targeting online information, accounts, website platforms and mobile apps being used to make stock recommendations illegally.
December 30, 2022Many of the new questions in the SFC's updated BRMQ focus on AML/CFT practices and brokerage business controls.
December 30, 2022The concerns relate to self-issued equity and derivative-linked bonds sold by securities firms, and the offering of high interest credit loans to investors.
December 29, 2022CGS-CIMB is providing accredited investor clients access to tokenised and fractionalised private market securities via ADDX.
December 20, 2022IOSCO chair Jean-Paul Servais said new standards for regulating "crypto conglomerates" are an "obvious necessity."
November 30, 2022CommSec and AUSIEX demonstrated "widespread, systemic compliance failures" over a nine-year period, said ASIC deputy chair Sarah Court.
October 28, 2022The services will initially allow online submissions of applications for two types of licenses. Full e-licensing services will launch in Q1 2023.
October 15, 2022