All posts tagged "Market Abuse"
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288ChinaChina Issues Revised Trading Rules for Interbank FX Market
The rules are intended for both domestic and foreign institutions, in line with recent draft rules from SAFE that sought to allow foreign firms to trade RMB foreign exchange derivatives.
December 12, 2019 -
7001Contributed ArticleRegulatory Data: Arrows for the Quiver?
Banks need to be cognisant of how the data they provide to regulators is being used, says Herbert Smith Freehills in its 2019 Global Bank Review.
October 25, 2019 -
639FeatureGovernance of OTC Derivatives Data Elements Finalised
The FSB has now published the final governance arrangements for both the UTI and UPI, while CPMI-IOSCO has published the same for the other critical data elements.
October 10, 2019 -
660Fintech / RegtechSingapore Brokers Directed to Enhance Trade Surveillance Systems
MAS and SGX RegCo have released a practice guide outlining five guiding principles for brokers to use in the review and design of their trade surveillance programmes.
August 8, 2019 -
481Asia-PacificThailand SEC to Incorporate AI in Price Manipulation Probes
Existing investigation and fact-finding procedures currently take 1.5 years before civil sanctions or penalties are imposed.
August 2, 2019 -
773Fintech / RegtechIOSCO: Key Considerations for Regulating Crypto Trading Platforms
The key considerations represent specific areas that IOSCO believes jurisdictions could consider in the context of the regulation of crypto-asset trading platforms.
May 29, 2019 -
512InternationalFSB Designates UK Agency as Sole UPI Service Provider
The Derivatives Service Bureau will be the sole issuer of UPI codes and operate the UPI reference data library, facilitating the use of OTC trade reporting data in assessing systemic risk.
May 3, 2019 -
972AML / KYCMAS Details Enforcement Outcomes, Priorities in Inaugural Report
The inaugural enforcement report reveals that MAS issued S$16.8mn in financial penalties and S$698,000 in civil penalties over 18 months.
March 21, 2019 -
638EnforcementRBI Issues Finalised Guidelines on Market Abuse
The new rules against market abuse cover market and benchmark manipulation and the misuse of information in markets regulated by the RBI.
March 18, 2019 -
757EuropeIOSCO Members, ESMA Can Exchange Information Post-GDPR
A decision by the European Data Protection Board will enable the continued sharing of information between ESMA and securities regulators outside the EU, in compliance with GDPR.
February 15, 2019
