The Stock Exchange of Thailand has received SEC approval to tighten its market surveillance measures, effective from 4 April.
March 24, 2022The FSA published the principles to catalyse further development of model risk management practices in the industry and prevent risk.
November 23, 2021Securities firms offering trading, exchange or underwriting services will be required to ensure customers register their foreign beneficiaries.
August 8, 2021The licences permit OSL Digital Securities to operate regulated brokerage and automated trading services for digital assets.
December 16, 2020NICE Actimize uses artificial intelligence and analytics to spot market abuse, conduct risk and suspicious communications early on, thereby preventing reputational, financial and regulatory risk.
December 16, 2020The Spotlight Review looks at current and future challenges that FICC market participants face in market surveillance and the impact of machine learning.
August 4, 2020SEBI is working on a 'data lake' project that will use AI, machine learning and NLP tech to analyse unstructured data and augment market surveillance.
January 24, 2020Trading venues and their participants should synchronise the clocks they use for timestamping reportable events with coordinated universal time (UTC), IOSCO says.
January 20, 2020The new monitoring system will enhance the effectiveness of front-line supervision, ensure fair transactions, and promote the stable and healthy development of the capital market, the SSE says.
January 6, 2020Under the new framework, announced at Hong Kong Fintech Week, platform operators that offer trading in virtual assets classified as securities may seek Type 1 and Type 7 licences from the SFC.
November 7, 2019