All posts tagged "Market surveillance"
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537FeatureJapan FSA Publishes Principles for Model Risk Management
The FSA published the principles to catalyse further development of model risk management practices in the industry and prevent risk.
November 23, 2021 -
123AML / KYCThai SEC Proposes UBO Registration Rules for Securities Firms
Securities firms offering trading, exchange or underwriting services will be required to ensure customers register their foreign beneficiaries.
August 8, 2021 -
720Fintech / RegtechSFC Issues First Licence to Digital Asset Trading Platform
The licences permit OSL Digital Securities to operate regulated brokerage and automated trading services for digital assets.
December 16, 2020 -
Press Release
NICE Actimize Awarded Best Solution in Market & Trading Surveillance
NICE 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, 2020 -
1.4KBig PictureFMSB Publishes Spotlight Review on Market Surveillance
The Spotlight Review looks at current and future challenges that FICC market participants face in market surveillance and the impact of machine learning.
August 4, 2020 -
943AML / KYCSEBI to Augment Social Media Monitoring to Fight Manipulation
SEBI 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, 2020 -
528InternationalIOSCO Issues Final Report Recommending UTC Time Stamping of Trades
Trading venues and their participants should synchronise the clocks they use for timestamping reportable events with coordinated universal time (UTC), IOSCO says.
January 20, 2020 -
846ChinaShanghai Bourse Launches New Market Surveillance System
The 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, 2020 -
2.8KAML / KYCSFC Unveils Regulatory Framework for Crypto Exchanges
Under 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 -
995AML / KYCStock Connect to Launch Southbound Investor ID Regime “Soon”
The launch of the investor identification regime for southbound trading will mark the first time mainland investors will have their personal information shared with Hong Kong’s regulator.
October 12, 2019
