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, 2019Existing investigation and fact-finding procedures currently take 1.5 years before civil sanctions or penalties are imposed.
August 2, 2019The key considerations represent specific areas that IOSCO believes jurisdictions could consider in the context of the regulation of crypto-asset trading platforms.
May 29, 2019The 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, 2019The 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, 2019The new rules against market abuse cover market and benchmark manipulation and the misuse of information in markets regulated by the RBI.
March 18, 2019A 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, 2019The 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, 2018KRX 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, 2018Mandatory clearing to apply to SGD and USD fixed-floating interest rate swaps; applicable to banks with OTC derivatives exceeding SGD20 bn.
May 3, 2018