All posts tagged "Market integrity"
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287Big PictureOECD Calls on Financial Sector to Bolster Trust in AI
A new OECD report identifies four determinants of trustworthy AI in the financial sector - transparency, fairness, data governance and accountability.
September 29, 2021 -
223Australia & NZASIC Warns of Social Media ‘Pump and Dump’ Campaigns
ASIC calls on market participants and listed companies to be on the lookout for and report suspected ‘pump and dump’ activity in listed securities.
September 23, 2021 -
210FeatureIOSCO Says Credit Sensitive Rates Pose Financial Stability Risk
IOSCO says SOFR should be used in place of USD LIBOR and that it will be closely monitoring how the “IOSCO badge” is used in compliance assessments of credit sensitive rates.
September 9, 2021 -
229Australia & NZ
ASIC Consults on Payment-for-order-flow Prohibition
Payment-for-order-flow arrangements are already prohibited in Australia. ASIC proposes amendments to address scenarios not currently covered by the rules.
August 26, 2021 -
421Big Picture
OECD Offers Policy Advice for Regulating AI in Financial Services
Among the recommendations are the introduction of suitability requirements for AI-driven financial services, and add-on capital buffers based on AI algorithms.
August 17, 2021 -
284AML / KYCSFC Finalises Investor ID, OTC Securities Reporting Regimes
The investor identification regime is expected to be launched in H2 2022. The securities transactions reporting regime will go live in H1 2023.
August 11, 2021 -
122Securities & TradingUS SEC Approves Nasdaq Proposal on Board Diversity
The new rules will require listed companies to meet race and gender targets, or explain in writing why they have failed to do so.
August 8, 2021 -
138Australia & NZ
ASIC Consults on Changes to Market Integrity Rules
Among the changes, the consultation proposes to require market participants to notify ASIC if it suspects a person of engaging in insider trading or manipulative trading.
July 2, 2021 -
200Big PictureNew Report Explores Impact of AT/HFT on Hong Kong Equities
Algorithmic trading and high-frequency trading were generally not found to have a deteriorating impact on market liquidity or increase market volatility.
June 29, 2021 -
258Asia-PacificASIFMA Calls for Harmonised Approach to Regulating AI
Regulators should leverage existing frameworks that largely already address and mitigate the key risks associated with the increased use of AI.
June 25, 2021
