All posts tagged "Surveillance"
-
29Asia-PacificPakistan Stock Exchange Set to Launch New Trading System
The system, acquired from the Shenzhen Stock Exchange, was first scheduled to be implemented in March 2021. The launch is now expected within October.
October 20, 2021 -
132Asia-PacificBSP Migrates to API-Based Regulatory Reporting
Banks have six months to enable capabilities to generate XML reports and ensure appropriate personnel is in place.
October 14, 2021 -
177Big PictureFMSB Offers Guidance on Mitigating Risks of Hybrid Working
In a new Spotlight Review, the FMSB outlines steps firms can take to promote equivalent conduct outcomes in a hybrid environment.
October 3, 2021 -
298FeatureKorea: Deadline for Crypto Exchanges to Register Arrives
Five crypto exchanges and one wallet provider have so far submitted their registration documents. Only Upbit has been formally approved by the FSC.
September 24, 2021 -
211Australia & 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 -
252Hong KongHKMA Sets Conditions for Issuing New USD LIBOR Contracts
In the fourth quarter, the frequency at which banks have to report data to the HKMA will also increase from quarterly to monthly, with a simplified reporting template.
August 20, 2021 -
280AML / 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 -
97Australia & NZ
ASIC Faces Pushback for Higher Financial Advice Levies
The FPA says the formula ASIC uses to estimate the industry funding levy for financial planners is not equitable or sustainable and must be reviewed immediately.
July 29, 2021 -
361AML / KYCSFC Calls on Industry to Report Suspected Ramp-and-dump Activity
Ramp-and-dump scams now account for about half of the market manipulation cases being investigated by the SFC. Overseas investors also being targeted.
July 27, 2021 -
237AML / KYCUS Government Warns Of Rising Business Risk in Hong Kong
A business advisory from four US government agencies says US firms should be aware of the risks they face if they continue operating in Hong Kong.
July 18, 2021
