All posts tagged "Surveillance"
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565FeatureHKMA, SFC to Jointly Review OTC Product Pricing at Intermediaries
The thematic review will assess the spreads intermediaries charge for non-exchange traded investment products such as bonds and structured products.
May 19, 2020 -
409Securities & TradingSGX RegCo to Scrap Minimum Trading Price Rule from 1 June
The MTP rule is described as a "blunt tool" for addressing risk of market manipulation, compared to more effective tools that target such manipulation directly.
May 11, 2020 -
275Hong KongSFC Offers Guidance on Cyber Risk of Remote Office Arrangements
In a circular, the SFC sets out examples of controls and procedures to help licensed corporations protect their internal networks and data.
April 30, 2020 -
1.0KAML / KYCG20 TechSprint Invites Firms to Develop Regtech, Suptech Solutions
Private firms are invited to develop solutions to improve regulatory reporting, crypto asset AML monitoring, and supervisory information sharing.
April 30, 2020 -
333Australia & NZASIC Eases Financial Advice Rules to Facilitate Super Withdrawals
Under ASIC relief, advice providers, tax agents and superannuation trustees are allowed to advise consumers on early withdrawals of their superannuation savings.
April 15, 2020 -
4.2KFeature
HKMA Sets Out Expectations on Algo-Trading Risk Management
During thematic examinations last year, the HKMA observed a number of sound practices used by some institutions to manage the risks associated with algorithmic trading.
March 6, 2020 -
818FeatureFSB Chair Sets Out Focus for Saudi G20 Presidency
The focus areas include LIBOR transition, BigTechs in financial services, and the development of a cyber risk effective practices tookit.
February 21, 2020 -
1.4KEnforcement
SGX RegCo Enhances Market Surveillance with Artificial Intelligence
The introduction of AI will help isolate unusual activity by learning from historical trading patterns and filtering out noise.
February 13, 2020 -
536Australia & NZFiji, PNG Stock Exchanges Sign MoU on Joint Market Development
Fiji's SPX has signed an MoU with Papua New Guinea's national stock exchange to cooperate on capital markets development, following from a similar MoU with NZX earlier this year.
December 12, 2019 -
1.1KAML / KYCBig Data is Transforming Investigations
Big data is rapidly changing how regulators and law enforcement conduct investigations and build cases, say Jeremy Birch, Peter Jones and Kyle Wombolt at Herbert Smith Freehills.
December 12, 2019
