All posts tagged "Market Abuse"
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299EnforcementRBI 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 -
449EuropeIOSCO 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 -
388Enforcement
RBI Consults On Market Abuse Prevention Rules
The draft guidelines will ban price manipulation in any financial instrument or benchmark rate and require market participants to put in place internal policies to monitor for market abuse.
October 1, 2018 -
289Fintech / RegtechKorea Joins Regional Peers in Adopting AI-based Market Surveillance
KRX launches new market surveillance system based on artificial intelligence; reduces time to secure data on suspicious transactions from 5 days to 1 hour.
May 8, 2018 -
388FeatureSingapore to Mandate Central Clearing of OTC Derivatives
Mandatory clearing to apply to SGD and USD fixed-floating interest rate swaps; applicable to banks with OTC derivatives exceeding SGD20 bn.
May 3, 2018 -
258FeatureHKEX Fights Market Abuse with AI, Machine Learning Tech
NASDAQ technology aims to better safeguard market integrity, detect unusual trading and market abuse, and provide immediate review of group activity involving coordinated trades.
April 19, 2018 -
174InternationalCPMI-IOSCO Issues Technical Guidance on OTC Derivatives Data
Guidance excludes UTI and UPI standards, includes parameters for how data should be reported rather than specific regulatory requirements.
April 12, 2018 -
205International
IOSCO Issues Corporate Bond Transparency Recommendations
Better access to information will aid regulator functions, enhance cross-border information sharing, enable better informed investment decisions, boost market liquidity.
April 7, 2018 -
535EnforcementInteractive Brokers HK Fined for Trading System Failures
The firm’s electronic trading system repeatedly submitted orders without regard for market liquidity and without effective price and volume controls.
February 15, 2018 -
763AML / KYCGRC – The Path to Managing Regulatory Change Intelligently
Why small and medium-sized firms don’t need an ‘oversized’ compliance effort.
June 29, 2017
