All posts tagged "Market surveillance"
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1.7KAML / 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 -
481AML / 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 -
728AML / KYCArtificial Intelligence Holds “Immense Potential” for Risk Management – MAS
MAS is using artificial intelligence tools for risk detection and market surveillance, while also working to strengthen protections against cyber risk, data breaches and AI-based discrimination.
May 16, 2019 -
601EnforcementSEBI Directs Exchanges to Check Volatile Stocks for Manipulation
SEBI has asked the BSE and NSE to boost intra-day surveillance to check unusually volatile stocks for possible manipulation.
February 7, 2019 -
492India
SEBI to Upgrade Market Surveillance System and Data Warehouse
India's securities regulator is looking to beef up its IT infrastructure for market surveillance and trade data analysis to improve detection of market violations.
January 4, 2019 -
491AML / KYCHKEX Unveils Details of New Northbound Investor ID Regime
HKEX to launch secure file transfer protocol service for exchange participants later this month to ensure smooth transition to new investor ID regime for northbound trading, set for 17 September.
August 27, 2018 -
456China
Stock Connect ID System for Northbound Trades Slated for September Launch
Northbound investor ID system is scheduled to be implemented on 10 September, pending market readiness and regulatory approval, and will not affect the business of existing market participants.
August 13, 2018 -
323Australia & NZNZX Lacking in Market Surveillance Obligations – FMA
New Zealand FMA says information provided by NZX surveillance team was below its expectations and questions the market operator's ability to detect misconduct; NZX to recruit additional resources to resolve the issue.
July 2, 2018 -
372China
China, Hong Kong to Deepen Cross-Boundary Market Surveillance
Regulators discussed collaboration on market surveillance, intelligence sharing, coordinated investigations, and the establishment of a notification mechanism for cases involving dual listed shares and cross-boundary market misconduct.
June 14, 2018 -
456Fintech / 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
